Moskowitz_Lucas

Lucas Moskowitz

Mr. Moskowitz specializes in representing individuals, corporations and other entities in a wide range of securities and derivatives investigative, enforcement, litigation, and compliance matters. Mr. Moskowitz also advises boards, corporations and other entities on financial services regulatory, policy and legislative matters. Mr. Moskowitz brings to his practice a breadth of knowledge and experience from nearly a decade serving in senior positions in the federal government, including as former chief of staff of the Securities and Exchange Commission (SEC) under Chairman Jay Clayton, chief investigative counsel to the Senate Committee on Banking, Housing and Urban Affairs, counsel to the House Financial Services Committee, and as an attorney in the SEC’s Division of Enforcement.

From 2017 to 2019, Mr. Moskowitz served as the SEC’s chief of staff. In this role, Mr. Moskowitz was Chairman Jay Clayton’s lead adviser on rulemaking and policy, enforcement, strategy, personnel, management, operations, communications, legislative affairs, and coordination with state and federal regulatory agencies and self-regulatory organizations including, among others, the Department of the Treasury, the Department of Justice, The Federal Reserve, the Commodity Futures Trading Commission (CFTC), and the Financial Industry Regulatory Authority (FINRA). 

During his time as the SEC’s chief of staff, Mr. Moskowitz played a key leadership role and provided legal, policy, and strategic advice to the Chairman and Commission staff on the development of policies and rules designed to, among other things: (1) promote capital formation, particularly for small and emerging companies; (2) promote effective corporate governance for both issuers and shareholders; (3) enhance investor protections for retail investors when dealing with financial professionals; (4) improve the investor experience in and modernize the current regulatory framework governing the asset management industry; (5) enhance transparency, efficiency and fairness in US equity markets and modernize regulatory approaches to fixed income trading; and (6) improve transparency and efficiency in the security-based swaps markets. Mr. Moskowitz also played an active role advising the Chairman and working with leadership staff on enforcement and examination matters.

Mr. Moskowitz began his career at the SEC as an attorney in the Division of Enforcement. He later served as a counsel to Commissioner Daniel Gallagher, advising him on enforcement, as well as domestic and international policy issues and regulatory matters. 

Mr. Moskowitz also has extensive experience working in Congress. Mr. Moskowitz served as chief investigative counsel for the Senate Banking Committee, where he led congressional oversight of various banking, securities and insurance matters. Prior to joining the Senate, Mr. Moskowitz was a counsel on the House Financial Services Committee, focusing on SEC oversight and capital markets and financial services legislation and policy. 

Mr. Moskowitz began his government service as a law clerk to the Honorable Richard M. Berman of the US District Court for the Southern District of New York. Before and after his clerkship, he practiced securities law at WilmerHale, representing clients in investigations and enforcement actions before the SEC and Department of Justice, internal investigations, and securities litigation and class actions. 

Mr. Moskowitz was also a managing director of a financial services consulting firm in Washington DC, where he provided strategic advice to public companies and other entities on SEC and CFTC regulatory and policy matters, and managed large compliance consultancies before the CFTC and FINRA.

Professional Activities

Mr. Moskowitz is a frequent speaker on panels and programs on financial services regulatory, policy, compliance and legislative matters.

 

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Credentials

  • Education

    • JD, Georgetown University Law Center, 2006

      magna cum laude
    • BA, Political Science, Princeton University, 2002

      magna cum laude
  • Admissions

    • District of Columbia

    • Maryland

  • Clerkships

    • The Hon. Richard M. Berman, US District Court for the Southern District of New York, 2008 - 2009

Credentials