RELEASE Number
7677-18

January 23, 2018

CFTC Commissioner Rostin Behnam Announces Legal Team

Washington, DC — Commodity Futures Trading Commission (CFTC) Commissioner Rostin Behnam today announced that John Dunfee, Laura Gardy and Alicia L. Lewis will serve as his Special Counsel.

“I am pleased to have John, Laura, and Alicia as members of my staff. Each bring many years of valuable experience and critical expertise that I am confident will help me continue to fight for strong customer protections and safe and transparent derivatives markets,” Commissioner Behnam said.

John Dunfee, Special Counsel

Dunfee has been with the CFTC for 17 years serving in a variety of roles. Prior to joining Commissioner Behnam’s office, he worked in the Office of General Counsel (OGC) as Assistant General Counsel for six years. In OGC, he served in a number of capacities, including Acting Deputy General Counsel for Trade Execution and Data and leading the team that worked on the CFTC’s Dodd-Frank Act final rulemaking to establish minimum sizes for block trades for swaps. Before joining OGC, he was Counsel to former CFTC Commissioner Michael Dunn, advising him on the Dodd-Frank Act and other Commission matters. Dunfee began his CFTC career in the Division of Enforcement, where he served for 10 years. For seven of those years he was a Chief Trial Attorney, leading an enforcement team in investigating and litigating complex financial fraud and market manipulation cases. Dunfee holds degrees from the University of Pennsylvania (B.A.) and the University of Michigan Law School (J.D.).

Laura Gardy, Special Counsel

Gardy began her career at the CFTC in 2002 as a Trial Attorney in the Division of Enforcement and later as Counsel to the Director. She later served as Legal Assistant to former CFTC Commissioner Bart Chilton and was Senior Counsel to former CFTC Commissioner Scott D. O’Malia. In 2012, Gardy joined the Office of the Comptroller of the Currency where she was Counsel in the Securities & Corporate Practices Group in the Office of Chief Counsel, focusing on derivatives activities of national banks including issues relating to clearing and payment system risk. Gardy returned to the CFTC in 2015 as an Associate Director in the Division of Swap Dealer and Intermediary Oversight’s Registration & Compliance Group. Gardy holds degrees from Cornell University (B.S.) and Washington and Lee University School of Law (J.D.).

Alicia L. Lewis, Special Counsel and Market Risk Advisory Committee Designated Federal Officer

Prior to joining Commissioner Behnam’s office, Lewis served as Special Counsel in the Chief Counsel’s Branch of the Division of Clearing and Risk (DCR) since 2009. While in DCR, Lewis worked on derivatives clearing organization recovery and resolution issues; registration applications; no-action and exemptive relief; and participated in international fora including clearinghouse crisis management groups and CPMI-IOSCO and Financial Stability Board workstreams involving systemically important central counterparties; the monitoring of the implementation of the Principles for Financial Market Infrastructures; and client asset protection in resolution. She also served as team leader for the CFTC’s Dodd-Frank Act Governance and Conflicts of Interest rulemakings. Before the CFTC, Lewis was Interim Legal Counsel at the Managed Funds Association (MFA) where she was responsible for monitoring and commenting on regulatory developments affecting the alternative investment industry at the Securities and Exchange Commission, Financial Industry Regulatory Authority, CFTC and other agencies. Prior to joining MFA in 2007, Lewis was an associate in the Securities Enforcement and Investment Management practices at K&L Gates for eight years. Lewis is also licensed as a Certified Public Accountant (inactive status) and previously worked on investment company audit engagements at Price Waterhouse LLP. Lewis holds degrees from the University of Pennsylvania’s Wharton School of Business Undergraduate Division (B.S.) and William & Mary Law School (J.D.).

 

Last Updated: January 23, 2018