Legal Division (LD)

The Legal Division (LD) serves as the chief legal advisor to the Commission. LD provides comprehensive, high quality legal services and resources to the CFTC and its staff to enable the agency to fulfill its mission. In doing so, LD works collaboratively both internally and externally to create synergies that facilitate sound and effective policymaking, while promoting the highest professional and ethical standards.

About the Division

LD provides legal services and support to the Commission and all of its programs. These services include: representing the Commission in appellate, bankruptcy, and other litigation; assisting in the performance of adjudicatory functions; providing legal advice and support for Commission programs; drafting and assisting in preparation of Commission regulations; interpreting the CEA; advising on legislative, regulatory, and operational issues; and reviewing legal issues in the Commission’s policymaking and enforcement dockets. The Legal Division also houses the Office of the Executive Secretariat, as well as the Freedom of Information Act (FOIA), ethics, privacy, records, library, and e-discovery programs of the Commission.

Division in Action

As the Commission’s legal advisor, the LD is in the unique position of reviewing all substantive regulatory, legislative, litigation, clearing, general law, and administrative matters presented to the Commission. LD provides guidance to the Commission pertaining to the Administrative Procedures Act (APA) and rulemaking process. LD is responsible for the Commission’s Appellate Litigation and advising the Commission on appeals from Proceedings. LD also advises the Commission on legislative initiatives and inter-agency initiatives, as well as matters of general law and Ethics. Additionally, LD houses the Commission’s Secretariat, the Information Management, Freedom of Information Act, Ethics, and E-Discovery programs.

LD currently has five groups within the division: Litigation, Enforcement & Adjudications Group, the Regulatory Group, the General Law Group, the Legislation & Intergovernmental Affairs Group, and the Secretariat & Information Management Group. Although LD consists of five different groups, the office functions as one unit in fulfilling its responsibilities to the Commission as legal advisor.

Senior Staff

Daniel J. Davis, General Counsel

Carlene Kim, Deputy General Counsel, Regulatory Group

Rob Schwartz, Deputy General Counsel, Litigation, Adjudication & Enforcement

Natasha Coates, Deputy General Counsel, Intergovernmental & Legislative Affairs

John Einstman, Deputy General Counsel, General Law

Melissa Jurgens, Deputy General Counsel, Secretariat & Information Management