Profil
Robert Long previously served as a senior attorney at the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), and as a federal prosecutor with the U.S. Department of Justice (DOJ). Rob defends clients in government investigations and prosecutions, spearheads special investigations, and advises financial services firms and market participants on regulatory, compliance, and cryptocurrency matters.
SEC Attorney Experience
Rob spent over ten years at the SEC in various capacities—Trial Attorney, Branch Chief, Senior Counsel, and Staff Attorney. In the SEC’s Division of Enforcement, Rob led enforcement litigation in federal courts and administrative proceedings, and directed/conducted complex investigations that resulted in significant enforcement actions, including halting a $160 million Ponzi scheme, charging a Fortune 500 company with FCPA violations, charging a Fortune 1000 company with accounting fraud, and prosecuting multiple insider trading cases and sophisticated market manipulation schemes. Rob also served in the SEC’s Division of Market Regulation (now the Division of Trading and Markets) where he reviewed market rules and analyzed market structure issues. While at the SEC, Rob served in the SEC’s Fort Worth and Washington, DC offices.
FINRA Attorney Experience
As a Senior Regional Counsel in FINRA’s Department of Enforcement in Dallas, Rob investigated violations of FINRA, SEC, and Municipal Securities Rulemaking Board (MSRB) rules, and the federal securities laws. Rob successfully handled enforcement cases involving high-frequency trading, complex products, inadequate anti-money laundering (AML) compliance programs, due diligence violations, supervision failures, misrepresentations in oil and gas offering materials, unsuitable recommendations, net capital violations, and broker misconduct.
DOJ Attorney Experience
Rob is a former federal prosecutor. As an Assistant U.S. Attorney (AUSA) for the District of Arizona in the Economic Crimes and Public Integrity Unit and as a Special AUSA for the Northern District of Texas, Rob worked closely with various law enforcement agencies, such as the Federal Bureau of Investigation (FBI), Internal Revenue Service (IRS), U.S. Secret Service, and Postal Inspection Service, to prosecute high-profile white collar and public integrity cases. His cases included a 12-defendant mortgage and loan fraud scheme, a “politically sensitive” case of “extreme importance,” and an oil and gas offering fraud scheme that was included in The President’s Financial Fraud Enforcement Task Force. Notably, Rob was selected by the U.S. Attorney for the District of Arizona to participate in DOJ’s nationwide “Election Day Program” to respond to complaints regarding election fraud and voting rights abuses during the November 7, 2006 general elections, and was a member of the Mortgage Fraud Task Force.
National Practice [SEC Defense Attorney, White Collar Defense Attorney, Investigations]
Rob draws on his knowledge of the inner workings of regulatory and law enforcement organizations and his wide-ranging multi-agency experience when defending regulatory and white-collar investigations and prosecutions; advising corporations, hedge funds, broker-dealers, investment advisers, and other market participants on compliance and regulatory matters; and conducting internal investigations. Rob advises clients on matters involving the SEC, FINRA, DOJ, FBI, Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Public Company Accounting Oversight Board (PCAOB), Financial Crimes Enforcement Network (FinCEN), Office of Foreign Assets Control (OFAC), and other federal and state regulatory agencies, including the Texas State Securities Board (TSSB) and Arizona Corporation Commission (ACC). Rob is regarded as a skilled attorney advising companies (public and private), senior executives, boards, directors, and other individuals in securities enforcement and government investigation matters.
Kompetencje
Doświadczenie
- Led internal investigation for public, Fortune 1000 company into misconduct by military products director.
- Defended New York-based registered investment adviser (RIA) in SEC investigation.
- Defending former CEO of public cybersecurity company in SEC investigation.
- Defended Connecticut-based hedge fund manager in in SEC Special Purpose Acquisition Company (SPAC) investigation.
- Defended Nasdaq-listed company with global operations in SEC investigation.
- Defended former managing director of Silicon Valley-based unicorn company [a private-held company with a valuation of over $1 billion] in SEC accounting and disclosure investigation.
- Conducted internal investigation for New York and London-based financial services firm into potential insider trading and advised firm on its compliance procedures.
- Defended multiple clients in SEC insider trading investigations.
- Defended former public official in public corruption investigation by FBI.
- Conducted internal investigation for a city into misconduct by a former city official.
- Defended banker in DOJ money laundering investigation.°
- Defended accounting firm and its executives in parallel SEC and PCAOB investigations.°
- Defended corporate counsel and secretary of public company in SEC investigation.°
- Defended and advised U.S. and foreign-based ICO issuers in government investigations.°
- Defended in-house attorney of oil and gas company in SEC investigation.°
- Defended New York-based SEC-registered investment adviser in SEC investigation.°
- Advised publicly-traded Atlanta-based financial services firm on regulatory matters.°
- Defended dually registered broker-dealer and investment adviser in parallel investigations by the SEC, FINRA, and TSSB.°
- Conducted internal investigation at multinational company into cyber security matter.°
- Advised international company on responding to phishing incident and prepared referral to FBI and IRS.°
- Defended FOREX trader for commodity pool in CFTC investigation.°
- Defended Denver-based broker-dealer in SEC insider trading policies and procedures case.°
- Defended various broker-dealers in FINRA examinations and investigations involving, among other things, possible AML, net capital, OATS reporting, markup, supervision, and commission sharing violations.°
- Defended numerous registered representatives in FINRA investigations alleging, among other things, failures to supervise, violations of Regulation S-P, selling away, undisclosed outside business activities, and failures to update Form U4.°
- Defended company executive in FBI inquiry into certain financial transactions.°
- Advised San Francisco-based firm on FINRA examination and regulatory issues.°
- Conducted internal investigation into control and reporting issues at broker-dealer.°
SEC Attorney Cases
- Multiple insider trading cases, including actions against offshore traders, a banking and derivatives lawyer, an executive of a petroleum transportation and storage company, and an oil purchasing manager.°
- Fortune 1000 company charged with earnings management and accounting fraud.°
- High-speed broker-dealer sanctioned for effecting 772 short sales in financial stocks in violation of SEC short selling ban.°
- Emergency actions halting $160 million affinity fraud scheme and $100 million Ponzi scheme.°
- Fortune 500 company sanctioned for violating the FCPA.°
- Broker and his fund management company charged with running an $8 million oil and gas investment fraud.°
- Investment adviser and its CEO charged with operating a fraud scheme that utilized a sales force that included former professional athletes.°
- Former broker charged with running a $930,000 stock scalping scheme (the illegal practice of recommending that others purchase a security, while secretly selling the same security).°
- Market manipulation cases involving spoofing (a scheme used to obtain improper price improvements on stock trades).°
FINRA Attorney Cases
- Broker-dealer fined $200,000 for failing to implement an adequate AML program, participating in the unlawful distribution of unregistered securities, and failing to tailor its supervisory procedures to its business, which included providing direct market access (DMA) to high-frequency traders.°
- Firm sanctioned for failing to establish an adequate supervisory system and written supervisory procedures governing its sales of certain complex, structured products.°
- Broker-dealer expelled for selling $23 million in private placement offerings without conducting a reasonable investigation of the issuers and securities being sold and, therefore, not having a reasonable basis to believe the offerings were suitable for its customers.°
DOJ Attorney Cases
- President of an oil and gas company convicted and sentenced to 20 years in prison for running a fraud scheme.°
- 12 defendants indicted for operating an $8 million loan fraud ring in three states; charges included conspiracy, loan fraud, mail fraud, wire fraud, money laundering, social security fraud, aggravated identity theft, and false statements.°
- Company and its president convicted of defrauding the Department of Agriculture's mad cow disease surveillance program.°
°The above representations were handled by Mr. Long prior to his joining Greenberg Traurig, LLP.
- FINRA
- Senior Regional Counsel, 2011-2014
- SEC
- Trial Attorney/Enforcement Attorney, 2007-2011
- Branch Chief/Attorney, 1998-2005
- DOJ
- Special Assistant U.S. Attorney, 2008-2011
- Assistant U.S. Attorney, 2005-2007
Sukcesy i wyróżnienia
- Selected, D Magazine, “Best Lawyers in Dallas,” 2018, 2020-2024
- Selected, National Law Journal, “Cryptocurrency, Blockchain and FinTech Trailblazers,” 2018
- Guest of Honor, Decred.org, Politeia Blockchain Contest, Austin, Texas, Feb. 10, 2018
- Recipient, SEC, Division of Enforcement, “Director’s Award,” 2009
- Recipient, SEC, “Ultimate Investor Advocate Award,” 2005
- Recipient, SEC, “Chairman’s Award for Excellence,” 2002
- Gold Medal Recipient, President’s Council on Year 2000 Conversion, 2000
Kwalifikacje
- J.D., Columbus School of Law, Catholic University of America
- B.S., Arizona State University
- Texas
- Arizona
- U.S. District Court for the Northern District of Texas
- U.S. District Court for the Southern District of Texas
- U.S. District Court for the Eastern District of Texas
- U.S. District Court for the Western District of Texas
- Arizona Supreme Court