B.A., Yale University; J.D., Yale University
Geoffrey Aronow has served as counsel for over 25 years in a wide variety of government enforcement investigations and proceedings before the Securities and Exchange Commission, the Commodity Futures Trading Commission, and other financial regulatory agencies. He is also an experienced civil litigator in complex securities class action and commodities cases.
Throughout his career Mr. Aronow has worked on matters in both the administrative and judicial arenas ranging from financial fraud to insider trading and professional misconduct, representing auditors, accounting firms, company officials and corporations. He has also provided compliance advice and training with regard to trading in commodities and related financial markets. He has served as an independent consultant in connection with the implementation of an SEC/NASD settlement and a FINRA (f/k/a NYSE) settlement.
Mr. Aronow served as director of enforcement at the CFTC from 1995 to 1999. During that time, he directed the agency’s enforcement program and coordinated its activities with the enforcement programs at the SEC, other regulators, and various U.S. Attorney offices throughout the country. Mr. Aronow also served a three-year term as a member of the National Adjudicatory Council of the NASD (now FINRA), which hears all appeals of enforcement and other disciplinary cases and reviews proposed changes in enforcement-related rules and procedures. He continues to be called on to sit on hearing panels for appeals of FINRA enforcement and disciplinary cases.
He has long been involved in development of major legislation in the financial regulatory area, including the Private Securities Litigation Reform Act and the Sarbanes-Oxley Act. Mr. Aronow has also advised clients on the implementation of Sarbanes-Oxley’s requirements.
Mr. Aronow is a former law clerk to the Hon. Robert F. Peckham of the U.S. District Court, Northern District of California.