Gary Carleton, Principal and Founder of Carleton Law, is a highly skilled and successful litigator with more than 35 years' experience. Gary works with Infinity primarily on internal investigations, compliance monitoring and security fraud cases. He began honing his trial skills in 1982, when he became an Assistant District Attorney in Brooklyn, NY. As a Senior Trial Assistant DA, he tried felony jury trials with a high success rate. As Senior Counsel with the U.S. Securities and Exchange Commission's Division of Enforcement, he conducted investigations that led to some of the Commission's most notorious insider trading cases, including Michael Milken, Dennis Levine, and Drexel/Burnham/Lambert. Gary led an investigative team responsible for conducting numerous interviews, reviewing tens of thousands of documents, and which helped lead to successful, high profile convictions.
Later in his career, Later in his career, Gary joined the Financial Industry Regulatory Authority (FINRA) (previously known as the National Association of Securities Dealers) and at different times worked in its Department of Enforcement, and as a Hearing Officer. Over his career as Senior Counsel, he investigated and prosecuted a litany of complex litigations – including some of the most significant enforcement cases ever brought by FINRA. His prosecutorial successes include manipulation of the Nasdaq market, trading abuses, sales practice abuses, elder financial abuse, anti-money laundering (AML), fabrication and falsification of documents, net capital violations, and reporting/disclosure violations. One of the most well-known cases Gary prosecuted at FINRA was of Stratton Oakmont, which led to the firm's expulsion from the securities industry. As a Hearing Officer, Gary oversaw many hearings and issued written rulings and decisions. He also had the rare opportunity to observe litigation from the bench and get a better perspective of what constitutes persuasive advocacy.
Gary was also the Managing Director of Washington Litigation and Mediation Group before forming Carleton Legal.
Gary is currently a member of the Bar in New York and the District of Columbia.