FacultyFaculty/Author Profile

Charles R. Mills

K&L Gates LLP

Washington, DC, USA


Charles R. Mills is a partner in K&L Gates LLP’s Washington D.C. office, where he practices as a member of the firm’s Securities Enforcement and Litigation, Broker-Dealer and Derivatives Practice Groups. He has practiced in the areas of securities and commodity trading regulation, enforcement, and litigation for over twenty years. He represents public and private companies, brokerdealers, investment advisers, hedge funds, commodity traders and brokers, energy companies and marketers, and other professionals and executives in private securities and commodity derivatives litigation and arbitration, and in investigations and enforcement actions of the Securities and Exchange Commission, National Association of Securities Dealers, New York Stock Exchange, Commodity Futures Trading Commission, National Futures Association, U.S. Department of Justice and state securities regulators. He has litigated the panoply of securities and commodity law issues and regularly counsels clients on regulatory compliance. He has re presented, as well, many companies in listing and de-listing proceedings of the principal securities exchanges. Mr. Mills also is an Adjunct Professor in the Graduate Securities Law Program of the Georgetown University Law Center, where he currently teaches Fraud and Fiduciary Duties Under the Federal Securities Laws and has taught The Regulation of Commodity Futures Transactions. Before entering private practice in 1983, Mr. Mills was a litigator and adviser in the Office of the General Counsel of the Commodity Futures Trading Commission. He received his law degree from the Georgetown University Law Center in 1977 and his undergraduate degree from Occidental College in 1974. His email address is cmills@kl.com.
Charles R. Mills is associated with the following items:
Treatise Chapters  Treatise Chapters Customer Transactions: Suitability, Unauthorized Trading, and Churning - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
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