Financial Services: Contentious

Partner

David represents individuals and firms facing regulatory enforcement and criminal investigations, with a particular focus on the financial services sector.

His depth of experience across both areas, including his time with the FCA’s Enforcement Division, gives him a rare perspective in cases which straddle the regulator’s remit and financial crime issues.  He has represented clients under investigation for market manipulation, insider dealing and money laundering failings, where both criminal prosecution and regulatory enforcement were potential outcomes.  His experience, which spans both FCA and PRA investigations, also extends to systems and controls, miss-selling cases and failures to be open and cooperative.

Outside of financial services, he has acted for clients in several of the major SFO investigations in recent years, including Serco and Petrofac, several of which were cross-border investigations, involving agencies across multiple jurisdictions.

Across all areas of his practice he has particular experience representing senior individuals in high profile cases, where their reputations, livelihoods and sometimes liberty is in jeopardy, including Senior Management Function holders under investigation for failings alleged to have occurred within their specified areas of responsibilities under the SMCR.

David regularly advises clients on financial crime compliance matters.

He has been called to the English Bar and is admitted to the New York Bar.