CHRIS MILLS represents clients in examinations, investigations and enforcement actions involving the Securities and Exchange Commission (SEC), FINRA, the Department of Justice (DOJ), the Commodity Futures Trading Commission (CFTC) and other regulators. He also regularly conducts internal reviews and investigations of potential misconduct and advises clients on regulatory matters.
As a member of Sidley’s global Securities Enforcement and Regulatory practice, which was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers and received the Chambers USA “Firm of the Year” awards in 2019 and 2016 for Financial Services and Securities Regulation, Chris frequently represents broker-dealers, investment advisers, credit rating agencies, public companies, and individuals in high-stakes and complex matters concerning compliance with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, related rules and regulations and SRO rules.
Chris’s recent experience includes:
- Representing a global broker-dealer in an SEC investigation of allegedly fraudulent trading practices
- Representing a major investment adviser in an SEC investigation of alleged breaches of fiduciary duty and conflicts of interest
- Representing a Fortune 50 public company in an SEC investigation of accounting and disclosure issues
- Representing an NRSRO in an SEC investigation relating to credit ratings assigned to structured finance instruments
- Representing a major hedge fund manager in an SEC investigation of potential insider trading
- Representing a major broker-dealer in a FINRA investigation of sales practices
- Conducting an internal investigation on behalf of a registered investment adviser into alleged breaches of fiduciary duty and other misconduct
- Representing a global broker-dealer in an inquiry by FINRA and other SROs regarding compliance with the Market Access Rule
- Representing a former senior executive at a multinational bank in connection with an SEC and DOJ investigation of alleged money laundering and securities fraud
- Representing a multinational financial institution in CFTC and NYAG investigations regarding potential market manipulation
- Conducting an internal investigation on behalf of a leading broker-dealer concerning compliance with FINRA research rules
- Representing a senior executive at a major financial services firm in an RMBS-related FIRREA investigation by the DOJ
Prior to joining Sidley, Chris served as a law clerk to Judge Leslie H. Southwick of the U.S. Court of Appeals for the Fifth Circuit. Previously, Chris served on the staff of the United States Senate Judiciary Committee and, during law school, worked in the Division of Enforcement at the SEC.