Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2024 : USA - Nationwide
Band 4
Contact number
+1 202 857 1700Chambers Review
McGuireWoods LLP has a notable broker-dealer practice assisting large banks, investment advisers and other financial services companies in an array of investigations primarily by FINRA and the SEC. The team also regularly guide clients through compliance interpretations and policies at both the state and federal level.
Strengths
Provided by Chambers
"The firm has an incredibly strong financial regulatory practice and is able to handle any issues, whether routine or novel."
"The McGuireWoods team understands the marketplace and regulatory changes. They are responsive and able to pivot quickly."
"The lawyers are thoughtful, analytical and provide good strategies."
"The firm has an incredibly strong financial regulatory practice and is able to handle any issues, whether routine or novel."
"The McGuireWoods team understands the marketplace and regulatory changes. They are responsive and able to pivot quickly."
"The lawyers are thoughtful, analytical and provide good strategies."
Notable Practitioners
Cheryl Haas has a well-regarded practice advising broker-dealer clients in SEC and FINRA investigations.
"Cheryl is effective working with a range of regulators and is very familiar with the wider regulatory landscape."
"Cheryl is an excellent lawyer and great partner."
Elizabeth Hogan is the cochair of the firm's securities enforcement and regulatory counseling group. As the former senior vice president and leader of Market Regulation Enforcement at the Financial Industry Regulatory Authority, she is well placed to advise broker-dealers on enforcement matters.
"Lizzie is very familiar with FINRA's rules and internal workings. She advises her clients very strategically because of her knowledge."
"Lizzie has excellent judgment and a great background in regulatory matters."
"She has deep expertise and experience on broker-dealer laws, rules and regulations."
John Ayanian is a noted attorney, well regarded for his broad-ranging capabilities on broker-dealer compliance matters. He is routinely called upon to provide counsel on issues relating to SEC and FINRA rules.
"He is well respected and people value his advice."
Ranked Lawyers at
McGuireWoods LLP
USA - Nationwide