Christopher Chatfield is Co-Head with Anthony Italiano of the Broker-Dealer Regulatory Governance and Disputes practice in which he works with broker-dealers and consumer banks to assist in complex regulatory matters and litigation
Mr. Chatfield has advised broker-dealers on hundreds of investigations and regulatory inquiries. He has advised and defended financial institutions involved in both domestic and international complex regulatory investigations and litigation, represented senior management in those matters, and conducted high-profile internal investigations. His specific expertise includes: insider trading; equity, derivatives and fixed income sales and trading; electronic trading; alternative trading systems; non-financial regulatory reporting; retail sales practices; and remediation plans; among others.
Prior to joining FTI Consulting, Mr. Chatfield served as Associate General Counsel in the Regulatory Inquiries group for Bank of America and Merrill Lynch. In this role, he focused on matters involving the broker-dealer businesses: institutional trading, investment banking, research and retail organizations. He represented the bank in dealings with numerous state and federal regulators and law enforcement agencies, and abroad in Europe, Asia and Latin America.
Prior to that, Mr. Chatfield spent five years at the Securities and Exchange Commission as Senior Counsel in the Division of Enforcement’s Office of Market Surveillance, participating in multi-agency (Department of Justice, Internal Revenue Service) investigations involving accounting fraud, insider trading and micro-cap fraud. His broad-based regulatory experience also includes earlier stints at the Chicago Board Options Exchange, the American Stock Exchange and the Financial Industry Regulatory Authority.
Mr. Chatfield holds a law degree from Vermont Law School and B.A. degree from Rutgers University. He is a member of the New Jersey Bar.