Charles R. "Charley" Mills

About Charles

Mr. Mills’ practice concentrates on securities and derivatives enforcement, regulatory counseling, and litigation. His clients include public and private companies, corporate officers, hedge funds, traders, energy marketers, broker-dealers, investment advisers commodity trading advisors and pool operators, and other professionals and executives. He represents clients in investigations and enforcement actions of the SEC, CFTC, FINRA, FERC, DOJ, state regulators and self-regulatory organizations and in private litigation and arbitration. He also regularly counsels and represents clients in agency and regulatory matters including company-specific matters, agency rulemakings, and such issues as registration, disclosure, derivatives trading compliance, regulatory audits, internal compliance procedures, and fiduciary duties. He has represented many companies in listing and de-listing proceedings before the principal securities exchanges. In 2005, the Compliance Reporter, a publication of Institutional Investor, honored Mr. Mills as one of its ”Lawyers of the Year“ for his precedent-setting victory in WHX Corp. v. SEC, 362 F.3d 854 (D.C. Cir. 2004). TheBest Lawyers in America has selected Mr. Mills as one of its Best Lawyers for Derivatives Law and Securities Law.

Practice Areas

Education

• Occidental College, BA

Bar Admissions

• California, The State Bar of California
• Virginia, Virginia State Bar
• New York, New York State Bar Association
• Maryland, Maryland State Bar Association
• District of Columbia, The District of Columbia Bar

Languages