Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2024 : USA - Nationwide
Band 3
Email address
[email protected]Contact number
+1 202 383 0100Chambers Review
Eversheds Sutherland (US) LLP is a well-regarded firm which houses a rounded team of attorneys, equipped to advise on diverse securities law matters. Regulatory expertise in the broker-dealer space is strengthened by vast experience defending enforcement actions brought by a range of authorities including the SEC and FINRA. Noted for its skillful representation of a varied client base, which includes banks, brokerages and investment funds.
Work Highlights
- . Eversheds Sutherland (US) LLP represented a coalition of broker-dealers in a variety of dealings with FINRA, helping to shape its rulemakings.
Strengths
Provided by Chambers
"The team is experienced, practical and well-connected in the industry."
"The attorneys in the group have the knowledge and expertise to handle complex and sophisticated matters."
"The team is able to identify the key issues quickly and suggest pragmatic solutions."
"The team is experienced, practical and well-connected in the industry."
"The attorneys in the group have the knowledge and expertise to handle complex and sophisticated matters."
"The team is able to identify the key issues quickly and suggest pragmatic solutions."
Notable Practitioners
Brian Rubin routinely represents broker-dealers and other financial institutions in connection with challenging regulatory, enforcement and administrative actions.
"Brian is highly regarded for his level of knowledge, expertise and responsiveness."
Clifford Kirsch utilizes his previous experience at the SEC to advise broker-dealer and investment adviser clients on a range of issues, such as the impact of the SEC's Regulation Best Interest. He also has notable experience of handling matters involving the FINRA.
"He is a highly respected attorney in this space."
Noted attorney Holly Smith is an expert on broker-dealer compliance issues. She offers additional skills in cybersecurity and privacy matters.
"Holly is a very strong lawyer with deep knowledge in her area of expertise."
"Holly has a wealth of experience and a broad perspective. We love working with her."
Ranked Lawyers at
Eversheds Sutherland (US) LLP
USA - Nationwide