As a partner in King and Spalding’s Securities Enforcement and Regulation practice, Mirella deRose leverages her extensive experience as a former prosecutor and regulator to advise clients on federal securities law, white-collar criminal and regulatory actions, government and internal investigations, and financial crimes compliance.
Mirella is a career litigator who represents broker-dealers, registered representatives, and other entities and individuals in federal securities and other white-collar matters. Past clients include the CFO and CCO of a broker-dealer; employees of major financial institutions both in the United States and Latin America in connection with internal and government investigations; and foreign individuals and companies tied to DOJ corruption probes. Mirella is well-versed in handling cross-border matters; she regularly advises foreign clients on U.S. criminal and regulatory investigations, and compliance with the U.S. financial regulatory system.
Prior to entering private practice, Mirella served as Principal Counsel in FINRA’s Enforcement Department. There, she was the primary attorney in the High Risk Broker Unit, where she successfully headed 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. Mirella represented the Enforcement Department in a hearing before a three-person FINRA adjudicatory panel that resulted in the permanent bar of an individual for committing federal securities fraud. Prior to FINRA, Mirella served for approximately eight years as an Assistant District Attorney in the Trial Division of the Manhattan District Attorney’s Office. There, she investigated and prosecuted complex financial and other criminal matters, garnering extensive hearing, trial and grand jury experience. In the white collar sphere, Mirella served as lead counsel in dozens of long-term investigations involving cybercrime and identity theft, insurance fraud, accounting fraud, wire fraud, health care fraud, and unemployment fraud. These investigations resulted in successful prosecutions, asset forfeitures, and confessions of judgment.