Bio

Pete Michaels focuses his practice on the representation of financial services companies in a wide variety of matters, including litigation, regulatory, and compliance matters of all types. His clients include multinational and regional financial services firms, including banks, broker-dealers, registered investment advisers, mutual fund firms, and insurance companies as well as their employees, directors, and officers. Pete’s extensive experience with securities disputes includes class actions, state and federal court cases, arbitration, and employment matters. He also represents clients before a wide range of federal, state and self-regulatory agencies: the Securities and Exchange Commission (SEC), the US Department of Justice (DOJ), the US Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the Financial Industry Regulatory Authority (FINRA), state securities, banking and insurance regulators, and state attorneys general. In the compliance side of his practice, Pete guides clients through complex compliance issues, including related internal investigations and regulatory scrutiny. Pete has served as an outside compliance consultant on two Massachusetts Securities Division matters. Before joining Mintz, Pete was co-chair of the Financial Regulatory and Compliance Practice and a partner in the Boston office of an international law firm. He joined that firm after nearly two decades at a Boston securities litigation boutique, where he served as managing partner. He was also an adjunct professor at Boston College Law School for four years teaching Securities Regulation. Earlier in his career, Pete spent five years as an associate general counsel and vice president of an investment banking firm, and he was an associate at two international law firms. After law school, he served as a law clerk to the late Hon. George C. Edwards Jr. of the US Court of Appeals for the Sixth Circuit. During law school, Pete served as editor-in-chief of the Third World Law Journal.