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Schulte Roth & Zabel LLP
Department profile | Schulte Roth & Zabel LLP
Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

Chambers Review

Provided by Chambers

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) - USA - Nationwide

4
Band 4

What the Team is Known For

Schulte Roth & Zabel LLP has a well-regarded team of practitioners with strengths in compliance, enforcement and litigation. The firm is regularly sought to advise on compliance with SEC, SRO and Federal Reserve Board rules, along with criminal proceedings and investigations. It has a niche expertise in insider trading matters and is noted for its work in emerging industries such as blockchain and cryptocurrency. The firm has particularly impressive cross-border capabilities.

Work Highlights

Provided by Schulte Roth & Zabel LLP

  • Schulte Roth & Zabel LLP represented Nexo Capital in parallel investigations brought by the SEC, CFPB, and multiple state regulatory agencies related to the company's offering of an interest-earning product.

Strengths

Provided by Chambers

""The team is highly skilled and responsive to our needs."

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

Notable Practitioners

Provided by Chambers

Julian Rainero
3
Julian Rainero
3
Band 3

Clients repeatedly turn to Julian Rainero for his dependable counsel on broker-dealer regulatory compliance matters. He is particularly respected for his expertise with alternative trading systems and often advises on rule-settings by the SEC.

"Julian's insight and knowledge are extraordinary."

"Julian is a terrific practitioner."

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Ranked Lawyers at
Schulte Roth & Zabel LLP

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USA - Nationwide

Financial Services Regulation: Broker Dealer (Compliance)
Julian Rainero
3
Julian Rainero
3
Band 3
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