Sidley Austin LLP
85 Exchange Street
Portland, ME 04101
CORIN SWIFT is a partner in Sidley’s Securities Enforcement and Regulatory group, which received the 2019 Chambers USA Award for “Financial Services Regulation,” and was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. She has extensive experience representing broker-dealers, investment advisers and other financial institutions in both internal and external investigations and enforcement proceedings. She represents both institutions and individuals before regulators including the Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), and state securities enforcement authorities. Much of her work involves defending clients facing multijurisdictional and overlapping investigations. She has appeared in state and federal court as well as FINRA arbitration proceedings on behalf of her clients.
Recent matters include:
- Representing multiple financial institutions in SEC investigations relating to cross-trades, mark-ups and disclosure.
- Representing a financial institution in connection with SEC and FINRA investigation of fixed income pricing and disclosures.
- Representing individuals and entities in various sales practice investigations and coordinated sweeps by state agencies including the Maine Office of Securities, and the Massachusetts Securities Division, among others.
- Defending a major investment bank, together with its current and former employees, in RMBS-related investigations by the SEC, state Attorneys General, and the DOJ, Civil Division.
In addition to regulatory investigation and enforcement matters, Corin has also handled related internal investigations and she routinely provides advice to broker-dealers and registered investment advisers on compliance and supervisory systems.
Corin has been recognized as “Lawyer of the Year” in 2018 and 2015 in Securities Regulation and is listed as a “Best Lawyer” in Securities/Capital Markets Law (2014–2020) in The Best Lawyers in America.
Admissions & Certifications
- U.S. District Court, District of Maine
- U.S. District Court, District of Massachusetts
- The University of Michigan Law School, J.D., 2000
- Occidental College, A.B., 1994