Mario J.Cacciola

Associate

(T) + 1.212.326.7837

Mario Cacciola defends financial institutions in federal court and before the Commodity Futures Trading Commission (CFTC) and the Financial Regulatory Authority (FINRA). His practice centers on representing financial institutions in connection with structured product and derivatives disputes, as well as representing financial institutions in enforcement actions before the CFTC and FINRA. He also advises corporations and financial institutions regarding compliance with U.S. regulatory requirements across different markets and advises clients regarding regulation regarding FINTECH.

Mario maintains an active pro bono practice and has successfully litigated domestic violence, child custody, and child support proceedings in New York Family Court. Recently he worked on a pro bono team that successfully represented a prisoner challenging the constitutionality of the terms of his pretrial confinement. In addition, Mario has successfully represented individuals seeking asylum protection within the United States.

Experience

PRO Securities LLC responds to inquiries by FINRA and SEC concerning plans to implement blockchain trading platform
Jones Day represented PRO Securities LLC, a broker-dealer/licensed alternative trading system, in inquiries by FINRA and the SEC concerning plans to implement a blockchain trading platform, including issues regarding compliance with books and records, custody, and trading obligations.

Overstock.com obtains first ever effective registration statement that contemplates public offering utilizing blockchain technology
Jones Day represented Overstock.com in obtaining first ever effective registration statement that contemplates a public offering utilizing blockchain technology.

Swap dealer responds to CFTC inquiry relating to LTR reporting issues
Jones Day is representing a swap dealer in connection with a CFTC inquiry relating to LTR reporting issues.

Deutsche Bank resolves class action lawsuit over allegations of conspiracy to stifle competition in CDS market
Jones Day client Deutsche Bank AG, New York achieved a settlement agreement in an antitrust class action brought by an Ohio union pension plan claiming that Deutsche Bank and other bank defendants conspired to prevent the development of credit default swap ("CDS") exchange trading and CDS futures products in an effort to stifle competition in the CDS market, in turn allegedly raising fund managers' costs.

New York inmate obtains precedential decision regarding mandatory procedural safeguards concerning solitary confinement
Jones Day pro bono client Mr. Wayne Hunter secured a payment of $75,000, in settlement of a lawsuit against New York City and employees of the City of New York Department of Correction in the United States District Court for the Southern District of New York.

Overstock.com and tØ.com implement blockchain trading platform and respond to inquiries by FINRA and the SEC
Jones Day represented Overstock.com and tØ.com in inquiries by FINRA and the SEC concerning plans to implement a blockchain trading platform, including issues regarding compliance with books and records, custody and trading obligations.

Swap dealer responds to CFTC enforcement inquiries concerning Dodd-Frank compliance and CCO reports
Jones Day represents a swap dealer in connection with CFTC inquiries relating to (i) compliance with various Dodd-Frank regulations, including compliance with SDR and EBC rules and (ii) its CCO Report.

Interdealer broker responds to CFTC inquiry related to Dodd-Frank regulations applicable to swaps trading
Jones Day represents a large interdealer broker in connection with a CFTC inquiry related to "name give up" issues.

Additional Publications

  • February 2016Spotlight on Spoofing: Looking Back at 2015 and Forward to 2016

Speaking Engagements

  • January 26, 2017Webinar panelist for CFTC Reporting Rules (FIA Law & Compliance)
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