Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

Former SEC director Annette Nazareth possesses great insight into the regulatory challenges faced by broker-dealers and their affiliated organizations. She is renowned for her ability to advise clients on SEC enforcement proceedings and ensure their compliance with a wide range of regulatory agencies.

Randall Guynn continues to enjoy a stellar reputation for his work in financial services law. He is an excellent choice of counsel for the most complex bank regulatory challenges and major M&A transactions.

"Randy is an outstanding practitioner and an outstanding legal mind. He also has a very good sense of cross-border issues."

"He has exceptional depth of knowledge in the bank regulatory sphere."

Luigi De Ghenghi is a leading practitioner of financial services law, offering broad-ranging expertise in bank regulatory matters and M&A transactions.

"He is really technically strong and has a lot of in-depth knowledge and expertise in complex areas of the law."

"Luigi is a preeminent bank regulatory and compliance lawyer."

Margaret Tahyar comes equipped with extensive legal acumen in financial regulatory matters. She regularly advises domestic and international banks, as well as FinTech companies, on cutting-edge compliance issues.

"Margaret is very clear in explaining complicated things to those who are not banking lawyers."

"She is a brilliant lawyer and very much considered a thought leader in the bank regulatory space."

Zachary Zweihorn regularly advises broker-dealers on strategic transactions and the associated regulatory requirements. He is recognized for providing clients with a comprehensive overview of SEC and FINRA rules.

"He is very knowledgeable and great at explaining concepts in an understandable way. He gives practical advice and is very smart."

"Zach is sharp, has a vast command of details and is able to craft new and workable solutions. He helps solve problems in an elegant and workable way."

"Zach is an excellent broker-dealer regulatory attorney."

Daniel Stipano is a strong choice for advisory assistance on challenging bank regulatory and enforcement matters. He is particularly experienced with respect to the methods of the OCC.

"He is a subject matter expert, particularly for the intricacies of dealing with certain rules."

"Dan Stipano has a ton of knowledge and is super practical."

Gabriel Rosenberg helps clients navigate the complex repercussions of regulatory reform in the financial services sector. He routinely counsels financial institutions on their compliance with the latest changes in state and federal legislation, including all aspects of the Dodd-Frank Act.

"He has his finger on the pulse of emerging financial tech questions. He is organized and practical."

"He is my go-to for things that don't fit squarely into singular legal analysis. His knowledge is spectacular."

"Gabriel is a really sharp lawyer."

David Portilla focuses his practice on all aspects of banking regulation, representing both US and non-US financial institutions. He is particularly sought after for his insights on the Dodd-Frank Act and amendments to the Volcker Rule.

"David is very constructive and very focused on looking at the client's perspective."

"David Portilla is just fantastic. He is knowledgeable and practical."

"He is very practical in his advice and really delivers on the client service side of things."