Eden Rohrer is a Partner in the Corporate, Financial Services and White Collar and Regulatory Enforcement groups of Crowell & Moring LLP. She concentrates her practice in broker-dealer regulatory, compliance, enforcement, litigation and arbitration matters. Ms. Rohrer is the vice-chair of the ABA's Task Force on Private Placement Broker-Dealers.
Ms. Rohrer assists broker-dealers and their associated persons to respond to regulatory examinations and inquiries and provides effective representation in a range of enforcement proceedings with the SEC, FINRA (formerly, NASD and NYSE), state and foreign regulatory authorities. She regularly prepares and defends witnesses in FINRA on the record interviews and SEC testimony. Enforcement matters have involved issues including market timing and late trading of mutual funds, market manipulation, insider trading, anti-money laundering rules, distribution of unregistered securities, net capital requirements, market making, Rule 15c211, Regulation M, sales practices, supervision, private placements in both privately held and publicly traded securities (PIPEs) and special purpose acquisition companies (SPACs), credit default swaps, and other securities.
She received her J.D. from Brooklyn Law School and her B.A. in English literature from Colgate University.
She is a co-author of Bloomberg BNA Securities Practice Portfolio Series No. 381, Broker-Dealer Registration: Demystifying the Process.
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