Kolby Loft represents broker-dealers, hedge funds and other financial institutions in enforcement proceedings and regulatory investigations by the SEC, DOJ, FINRA, self-regulatory organizations and state regulators. Kolby has advised clients during investigations and enforcement matters relating to insider trading, securities fraud and market manipulation, as well as with respect to a wide array of technical broker-dealer rules and regulations. He also represents clients in regulatory investigations relating to developing financial technologies, including digital assets and cryptocurrencies.

Kolby previously worked at two global law firms and spent several years in the litigation department of a global investment bank. Kolby earned his J.D. from New York University School of Law and his B.A. from New York University.

Publications

“Broker-Dealers and Mutual Funds: Increased Regulatory Focus on Suspicious Activity Monitoring and Reporting Requirements,” SRZ Alert, April 1, 2021

Prior Experience

  • Shearman & Sterling, 2019-2020
  • Credit Suisse Securities (USA), 2014-2020
  • Alston & Bird, 2013-2018