Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2024 : USA - Nationwide
Band 2
Email address
[email protected]Contact number
+1 215 963 5000About
Provided by Morgan, Lewis & Bockius LLP
Securities matters often involve parallel litigation and enforcement proceedings, and our securities enforcement and litigation team has the experience and depth to advise and defend clients in these overlapping areas. We regularly represent public and private companies, financial institutions, officers, directors, and board committees in securities enforcement inquiries and investigations, lawsuits asserting violations of US federal and state securities laws, and shareholder derivative actions. We also counsel clients on the creation and regulation of financial products, guide them through internal and regulatory investigations, and defend them in litigation.
With experience advising financial institutions on the complex issues they face, our securities regulation team counsels clients on issues surrounding the creation and regulation of financial products. The group also provides guidance during examinations and investigations that all of the financial services regulatory agencies conduct, and represents clients during complex litigation when it arises.
Chambers Review
Morgan, Lewis & Bockius LLP has strength in the full range of regulatory matters pertaining to the banking and broker-dealer industries, with a recognized group of securities law experts advising blue-chip clients on the most cutting-edge matters. Particular strength in regulatory compliance matters, but also noted for its handling of high-stakes enforcement actions by the SEC, FINRA and other agencies. Benefits from a highly experienced bench, with over 30 partners having previously served with the DOJ or the major regulatory agencies. Increasing strength in connection with cross-border regulatory matters, with the US team working closely alongside colleagues in London, Frankfurt and Tokyo.
Work Highlights
- Morgan, Lewis & Bockius LLP continued to advise several emerging technology lending companies on federal and state licensing and registration, financial regulatory and AML issues.
Strengths
Provided by Chambers
"The firm draws from expertise across geographies and has acute awareness of commercial impacts."
"Morgan Lewis is a strong firm with a deep bench of experts in the bank regulatory field."
"The team gives outstanding, practical advice."
"The firm draws from expertise across geographies and has acute awareness of commercial impacts."
"Morgan Lewis is a strong firm with a deep bench of experts in the bank regulatory field."
"The team gives outstanding, practical advice."
Notable Practitioners
Steven Stone is a respected figure in the broker-dealer space, noted for his expertise in securities and derivatives law. He regularly assists clients in obtaining regulatory relief from a range of authorities, including the SEC, SIFMA and FINRA.
"Steve Stone is fantastic."
Amy Kroll focuses her practice on the regulation of broker-dealers and affiliated organizations.She regularly provides strategic advice to clients whose conduct comes into conflict with SEC and FINRA rules.
"She balances an amazing knowledge of the law with the ability to give practical advice that allows clients to achieve their goals."
"Amy has been in this area for a long time and knows everything."
"She's very strong and technically good."
Ben Indek is an expert in broker-dealer regulatory matters and is highly experienced at guiding clients through high-stakes investigations, examinations and enforcement proceedings.
"He is very knowledgeable, a really good writer and presents well. He is very pragmatic and has great relationships with the regulators."
Ranked Lawyers at
Morgan, Lewis & Bockius LLP
USA - Nationwide