Zachary S. Brez, P.C.

Publications

Securities & Futures Enforcement

• Zachary Brez, Helen Gugel, Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations - Fifth Edition, Bloomberg BNA (2023)

• Zachary Brez, Bob Allen and Nader Salehi, “SEC Enforcement Record Stems From More Penalties, Not More Cases,” Bloomberg Law (January 2023)

• Zachary Brez, Norm Champ, Scott Moehrke, Diane Blizzard, Michael Chu, Matthew Cohen, Marian Fowler, Melissa Gainor, Phil Giglio, Nicholas Hemmingsen, Daniel Kahl, Alpa Patel, Eric Perelman, Noah Qiao, John Reinert, Nabil Sabki, Jaime Schechter, Christopher Scully, Reed Schuster, Ryan Swan, Josh Westerholm, Jina Yun, Nick Niles, Meghan Dolan, Victor Hollenberg, Zach Heater, Asheesh Goel and Kim Nemirow, “FinCEN Issues Final Rule Relating to New Beneficial Ownership Reporting Obligations for Private Fund Managers, Private Funds and Portfolio Investments,” Kirkland AIM (October 2022)

• Zachary Brez, Daniel Chaudoin, Daniel Kearney and William Osberghaus, “The SEC’s New Approach to Neither-Admit-Nor-Deny Policy May Not Be So New After All,” New York Law Journal (December 2021) 

• Zachary Brez, Helen Gugel, Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations - Fourth Edition, Bloomberg BNA (2019)

• Zachary Brez, Allison Lullo and Giselle Sedano, “CFTC 2018 Enforcement: Where the Puck Is Going,” New York Law Journal (2018)

• Zachary Brez, Helen Gugel, Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations - Third Edition, Bloomberg BNA (2017)

• Zachary Brez, Jon Daniels, John Ivey Eagles and Kathryn Roulett, “Recent Developments in CFTC Enforcement,” Bloomberg BNA Securities Regulation & Law Report (November 2016)

• Zachary Brez, Jon Daniels and Helen Gugel, Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations - Second Edition, Bloomberg BNA (2016)

• Zachary Brez, Helen Gugel and Caitlin Giaimo, “CFTC whistleblower reward program overcomes its growing pains,” Westlaw Journal Derivatives (October 2016)

• Zachary Brez, Jon Daniels, Megan McEntee, “FERC Enforcement's Increased Attention to Market Manipulation is Coming to a Head,” Bloomberg Law (October 2015)

• Zachary Brez, Nicholas Berg and David Rojas, “SEC’s Continued Use of Administrative Forum Irks Critics, Raises Sticky Constitutional Questions,” Bloomberg BNA “Corporate Law & Accountability Report” (December 2014)

• Zachary Brez, Jon Daniels and Joe Harrington, “FERC Strikes Back on Financial Market Jurisdiction in BP Manipulation Case,” Bloomberg BNA’s Daily Report for Executives (July 2014)

• Zachary Brez, Nicholas Berg and David Rojas, “Must Judge Rakoff Recuse Himself from Hearing Financial Crisis Cases?” Westlaw Next (January 2014)

• Zachary Brez and Jon Daniels, Commodities & Futures Enforcement: Practice and Procedure in CFTC and SRO Investigations, Bloomberg BNA (2014)

• Zachary Brez and Jon Daniels, “The New Financial Sheriff: CFTC Anti-Fraud Authority After Dodd-Frank,” Bloomberg BNA Securities Regulation & Law Report (2012)

• Zachary Brez and Carly Baratt, “Subjecting Mortgage-Backed Securities To TIA,” Law360 (June 2012)

• Zachary Brez, R. Daniel O’Connor, and Kelly O’Connell, “Dodd-Frank, Aiding-and-Abetting Scienter, and Principles of Fairness: Why the SEC Should Not be Allowed to Apply Section 20(e) Retroactively,” BNA Securities Regulation & Law Report (July 2011)

• Zachary Brez, R. Daniel O’Connor, and Joseph Cleemann, “Control Person Liability,” Bloomberg Law Reports (April 2011)

International Risk 

• Zachary Brez, Michael Casey and Kim Nemirow, “U.S. Economic Sanctions: Across Last Year,” Money Laundering Bulletin (February 2020)

• Zachary Brez and Michael Casey, “Sanctions Enforcement and Compliance: A Practitioner’s Guide to OFAC, 411 Banking Practice Series,” Bloomberg BNA (December 2019)

• Zachary Brez, Neil Eggleston, Kim Nemirow, Mark Schneider, “White-Collar Crime Practice Guide – U.S. Chapter,” Chambers & Partners (October 2019)

• Zachary Brez, Michael Casey and Marcus Thompson, “INSIGHT: A Review of U.S. Economic Sanctions in 2018,” Bloomberg Law: White Collar & Criminal Law (January 2019)

• Zachary Brez and Michael Casey, “INSIGHT: U.S. Economic Sanctions: Mid-Year Review,” Corporate on Bloomberg Law (July 2018)

• Zachary Brez, Cori Lable and Jodi Wu, “Challenges and Advice for Multinational Companies in Complying with Chinese Cybersecurity Law,” New York Law Journal (February 2018)

• Zachary Brez, Michael Casey and Kim Nemirow, “Sanctions Year in Review,” Bloomberg Law’s Corporate Law & Accountability Report (December 2017)

• Michael Casey, Zachary Brez and Mario Mancuso, “Sanctions Compliance Lessons from Recent OFAC Actions,” Law360 (September 2017)

• Zachary Brez, Michael Casey, Brendan Hanifin, “Sanctions And Export Control Risks For Health Care Cos.,” Law360 (May 2017)

• Michael Casey, Zachary Brez and Brendan Hanifin, “Forecasting International Risk Climate Under President Trump,” Law360 (November 2016)

• Michael Casey and Zachary Brez, Sanctions Enforcement and Compliance: A Practitioner’s Guide to OFAC, 411 Banking Practice Series Bloomberg BNA (November 2016)

• Michael Casey and Zachary Brez, “6 Months Since Iran Sanctions Relief: Lessons And Forecast,” Law360 (July 2016)

• Zachary Brez and Samad Pardesi, “Interesting Times Ahead For CFIUS And Foreign Investors,” Law360 (March 2016)

• Zachary Brez, Michael Casey and Sean Seelinger, “Potential Traps When Doing Business in Iran,” New York Law Journal (February 2016)

• Zachary Brez, Marcus Thompson, Michael Casey and Sean Seelinger, “FinCEN’s Proposed AML Program & Reporting Requirement Rules,” Bloomberg BNA Securities Regulation & Law Report (December 2015)

• Zachary Brez, Nicholas Berg, Timothy Farrell and Deanna Foster, “Make No Mistake: The ‘New Normal’ of Aggressive Anti-Money Laundering Enforcement Against Financial Institutions,” Bloomberg BNA Corporate Law & Accountability Report (May 2015)

• Zachary Brez, Michael Casey “Lessons Learned From the Schlumberger Sanctions Settlement,” Bloomberg BNA Corporate Law & Accountability Report (April 2015)

• Zachary Brez and Jon Daniels, “Latest Updates on the Securities and Exchange Commission’s Conflict Minerals Rule,” Bloomberg BNA Corporate Law & Accountability Report (May 2014)

• Zachary Brez, R. Daniel O’Connor and Michael Casey “Takeaways From Weatherford Corruption Settlements,” Law360 (December 2013)

• Zachary Brez and Michael Casey, “The Perilous Sanctions Regime: Understanding ING Bank’s $619M Settlement With OFAC,” Bloomberg BNA's Banking Report (October 2012)

• Zachary Brez, Amanda Raad and Jon Daniels, “How To Implement Conflict Minerals Rule Requirements,” Law360 (September 2012)

• Zachary Brez and Michael Casey, “Al Haramain: Analyzing the Impact of the Ninth Circuit’s Recent Decision on OFAC’s Jurisdiction,” Bloomberg Law Reports Corporate Counsel (January 2012)

• Zachary Brez and Jon Daniels, “The Travel Act & Anti-Graft Compliance,” Compliance Reporter (October 2011)

• Zachary Brez and Jon Daniels, “Dodd-Frank and the Curious Case of Conflict Minerals,” Boardmember.com (September 2011)

• Zachary Brez and Michael Casey, “4 Steps Toward OFAC Sanctions Compliance,” Law360 (August 2011)

Press Mentions

• Quoted in “US banks may struggle to identify ownership when complying with Russia sanctions,” S&P Global Market Intelligence (March 2022) 

• Quoted in “GC Cheat Sheet: The Hottest Corporate News Of The Week,” Law360 (March 2022) 

• Quoted in “GC Cheat Sheet: The Hottest Corporate News Of The Week,” Law360 (March 2022) 

• Quoted in “Global M&A Market In Limbo As Russian Sanctions Unfold,” Law360 (February 2022) 

• Quoted in “How GCs Can Navigate Sanctions Against Russia,” Law360 (February 2022)

• Quoted in “Global Trade Sanctions Picture Growing Tenser and Murkier for General Counsel,” Corporate Counsel (May 2018)

• Quoted in “Mexico Slaps Billionaire’s Steel Company with Fine for Stock Manipulation,” Reuters (February 2018)

• “Hire Power,” The American Lawyer (February 2018)

Seminars

Securities & Futures Enforcement

• Moderator, “The Regulators’ Review: Today’s Biggest Enforcement Matters,” GAIM Regulation Conference, New York (February 2014)

• Panelist, “The Challenges of Multijurisdictional Investigations and Enforcement,” New York State Bar Association Committee on White-Collar Criminal Litigation Symposium, New York (October 2013)

• Panelist, “Top Priorities at the SEC,” 8th Annual GAIM Ops, Grand Cayman, Cayman Islands (April 2013)

• Panelist, “Khuzami’s Second Anniversary: Evaluating Changes, Initiatives and Priorities at the SEC Enforcement Division,” (March 2011)

International Risk

• Speaker, “Conducting Business Overseas, Where’s the Risk?” FDLI Annual Global Business Conference (March 2016)

• Guest, “With Sanctions Eased, What Kind Of Trade Can Companies Do With Iran?” NPR Morning Edition (January 2016)

• Speaker, “The SEC’s Conflict Minerals Rule: Overview & Implications,” Corporate Social Responsibility Leadership Course, Fordham Law School (June 2014)

• Panelist, “Ukraine, Russia, and the Impact of Sanctions on the IFCs,” Harneys Webinar (March 2014)

• Panelist, “Discussion: Sanctions against Ukraine and Russia and the Impact on Investors,” Harneys Webinar (March 2013)

The Legal 500 U.S. (2016, 2019–2023)

American Bar Association

Boston Bar Association