Mirella deRose

Government Investigations

• Represented employees of a major international bank in a joint state and federal sanctions investigation into the bank’s handling of U.S. dollar transactions.
• Represented a senior employee of a multinational financial institution in an internal investigation stemming from the institution’s relationship with clients embroiled in a foreign corruption probe.
• Represented the CFO and CCO of a broker-dealer in a FINRA investigation into the broker-dealer’s failure to supervise employees’ outside business activities and investment accounts.
• Advised a national corporation on BSA/AML/OFAC and SEC/CFTC regulatory compliance obligations triggered by a loan purchase.
• Represented numerous individuals in investigations and enforcement actions initiated by the SEC, CFTC, FINRA, DOJ, and OFAC.

Civil Litigation

• Representing a provider of coworking space in national arbitrations involving complex partnership and contractual disputes.
• Represented the president of a major cryptocurrency exchange in an AAA employment arbitration.

Mirella deRose has over 17 years of experience and focuses her practice on white collar criminal and regulatory matters, government and internal investigations, financial crimes compliance, and real estate litigation. She has represented clients in intricate proceedings and high-risk investigations led by the Financial Industry Regulatory Authority (FINRA), Department of Justice, Securities and Exchange Commission, Office of Foreign Assets Control, and state attorneys general.

Before establishing her private practice in 2016, Mirella served as principal counsel in FINRA’s Enforcement Department, where she acted as the primary attorney in the High-Risk Broker Unit. She led investigations into broker-dealers and associated individuals involving ongoing securities fraud, money laundering, theft and mishandling of customer funds, failures to properly register securities, and supervisory failures including failures to detect and report suspicious transactions.

Before joining FINRA, Mirella was an assistant district attorney in the Trial Division of the Manhattan District Attorney’s Office for eight years. She prosecuted complex financial and criminal matters, gaining significant investigations, trial, and grand jury experience.

Languages

• Spanish
• Italian

Bar Admissions

• New York

Education

• New York University (J.D., 2006)
• Harvard College (B.A., 2001)

Memberships