Justin L. Chretien

Justin Chretien is a senior trial attorney with more than 30 years of experience handling high-stakes civil litigation as well as SEC and FINRA examinations, investigations, and litigation. He served as a trial attorney for the U.S. Department of Justice, as assistant chief litigation counsel for the U.S. Securities and Exchange Commission, and as senior litigation counsel for the Financial Industry Regulatory Authority (later chief counsel and senior director). 

Justin’s extensive experience as a DOJ trial attorney makes him a trusted choice for high-stakes civil litigation, while his background as litigation counsel for both the SEC and then FINRA uniquely positions him to represent financial firms and public companies effectively in examinations, investigations, and formal proceedings brought by regulators. He has been recognized with the SEC Enforcement Division Director’s Award and FINRA’s Premier Achievement Award for litigation excellence.

Prior to entering law school, Justin graduated from the U.S. Air Force Academy with a B.S. in astronautical engineering and served our nation as an Air Force fighter pilot, receiving numerous awards and medals.

Justin currently serves as chair of the firm’s Securities and Investment Companies Industry Group and is a frequent speaker at conferences regarding securities enforcement and compliance issues.

DOJ Experience

Justin represented the United States and its agencies as first-chair in complex civil litigation for more than 10 years in U.S. district and appellate courts, leading large teams of attorneys and experts to consistently successful outcomes. Argued and won two circuit court appeals. Notable cases include Bauer v. United States, 289 F. Supp. 2d 944 (N.D. Ill. 2002), aff’d, 359 F.3d 451 (7th Cir. 2004); Kuch v. United States, 2007 WL 2874974 (E.D. Wash. Sept. 28, 2007); and Reiber v. United States, 2007 WL 71243427 (S.D. Fla. Aug. 13, 2007).

SEC Experience

Justin represented the SEC in enforcement matters and litigation in federal courts for four years. Successfully unraveled a complex international fraud scheme resulting in judgment for the SEC of more than $10 million in fines. See, e.g., SEC v. Boock, 2011 WL 3792819 (S.D.N.Y. Aug. 25, 2011). Decisively acted to freeze more than $1 million in ill-gotten assets of Russian hackers in a high-profile matter in the Southern District of New York, returning funds into U.S. brokerage accounts. SEC v. BroCo Investments and Valery Maltsev, SEC Lit. Rel. Nos. 21452, 21760 (Mar. 16 and Dec. 2, 2010); SEC v. Lines, 669 F. Supp. 2d 460 (S.D.N.Y. 2009). 

Counseled SEC leadership concerning litigation risks and strategies, charging decisions, settlement negotiations, policies, and programmatic concerns. Worked closely with domestic and foreign regulators, DOJ, FBI, and U.S. attorneys.

FINRA Experience

As senior litigation counsel, represented FINRA in its highest-priority matter at the time against a firm and its CEO for fraud in the sale of promissory notes, resulting in firm expulsion and permanent bar of CEO. See Dep’t of Enforcement v. Anthony Thompson and TNP Securities, LLC, Discip. Proc. No. 2011025785602 (OHO 2015). Other violations successfully prosecuted include money laundering, trading practices, trace, short sales, market access, trade reporting, book-keeping, supervision, and fraud.  

As chief counsel, directed team representing FINRA and 12 U.S. stock exchanges handling FINRA’s most complex and lengthiest manipulation case at the time, with misconduct spanning more than a decade and involving more than 100 causes of action. See Dep’t of Enforcement v. Lek Securities and Samuel Lek, Discip. Proc. No. 20110297130 (2019) (respondent settled to a permanent bar, fines of $969,000, and multiple undertakings). 

As senior director, supervised hundreds of enforcement actions against scores of major U.S. financial institutions for violations of federal securities laws and/or the rules of FINRA and U.S. stock exchanges.

• Cambridge Forum on Broker-Dealer Enforcement and Compliance, New Orleans, LA (May 6-8, 2026)
• "The Regulatory Landscape for Insurance Carriers and Producers Selling Securities," 2026 IRI Annual Conference, Tampa, FL (April 23, 2026)
• "Compliance and Implementation Regarding Challenges with Indexed Products," 2026 IRI Annual Conference, Tampa, FL (April 23, 2026)
• "The New SEC Regulatory and Enforcement Landscape," 2025 IRI Annual Conference, Tampa, FL (March 27, 2025)
• “Recent SEC and FINRA Examination and Enforcement Developments,” ALI CLE Conference on Life Insurance Products, Washington, D.C. (November 8, 2024)
• "Regulatory Hot Topics Landscape," ACLI Compliance & Legal Sections Annual Meeting 2024, Fort Lauderdale, FL (July 24, 2024)
• “The SEC Regulatory Landscape: New Cases, New Rules,” 2024 IRI Annual Conference, Nashville, TN (April 3, 2024)
• "Digital Engagement Practices: Compliance and Legal Challenges," SIFMA C&L 2024 Annual Seminar, Orlando, FL (March 19, 2024)
• "A Deep Dive Into SEC v. Cutter and DOL Update," National Association for Fixed Annuities (January 10, 2024)
• "SEC v. Cutter," Federation of Americans for Consumer Choice (November 30, 2023)
• "The State of Play in Annuity Regulation," 2023 NAFA Annuity Leadership Forum, Washington, D.C. (June 20, 2023)
• “SEC Enforcement and Registered Product Developments,” Association of Life Insurance Counsel 2023 Annual Meeting (May 7–9, 2023)
• Integrity Marketing Group LLC Compliance Summit (2023)
• "BD/RIA Hot Topics," Integrity Compliance Summit (May 5–6, 2022)
• “Reg BI — Lessons Learned From Year One,” 2021 IRI Annual Conference (September 22, 2021)