Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2024 : USA - Nationwide
Band 1
Contact number
+1 312 853 7000About
Provided by Sidley Austin LLP
For more information on the practice, please visit the practice's page at: https://www/sidley.com/en/services/banking-and-financial-services
Chambers Review
Sidley Austin LLP offers extensive experience across a range of securities and broker-dealer matters, including the most technical aspects of equity markets, alternative trading systems and municipal securities. Noted representation of broker-dealer clients in connection with regulatory examinations, investigations and enforcement actions. Further recognized for its highly respected consumer finance practice, covering a broad range of matters including the establishment of innovative payment systems. Regularly acts on behalf of banks and non-banks in connection with complex regulatory matters and major litigation.
Work Highlights
- Sidley Austin LLP advised PayPal on the structure and launch of its Venmo Teen Account and Venmo Teen Debit Card.
Strengths
Provided by Chambers
"The firm has an incredibly strong financial regulatory practice and is able to handle any issues, whether routine or novel."
"Sidley has a strong platform and does a lot of sophisticated work for global financial institutions, particularly in payments and FinTech."
"Sidley lawyers excel at getting up to speed on complex matters quickly and providing actionable business-oriented advice."
"The firm has an incredibly strong financial regulatory practice and is able to handle any issues, whether routine or novel."
"Sidley has a strong platform and does a lot of sophisticated work for global financial institutions, particularly in payments and FinTech."
"Sidley lawyers excel at getting up to speed on complex matters quickly and providing actionable business-oriented advice."
Notable Practitioners
Hardy Callcott stands out for his market-leading counsel to leading US broker-dealers on the full range of compliance requirements. He is equally accomplished at steering clients through major enforcement actions initiated by state and federal regulators.
"Hardy Callcott is a superb counselor with encyclopedic knowledge."
David Teitelbaum is a widely commended name in the world of consumer finance law, noted for his extensive regulatory and transactional capabilities. He is particularly well regarded for his expertise in payments law matters.
"He is very experienced and updates his analysis based on rapidly changing facts."
"David has very thorough and robust experience and understanding around regulatory issues."
Kevin Campion maintains a prominent broker-dealer compliance practice, offering clients comprehensive guidance with respect to rules set by the SEC, SIFMA and FINRA. He is particularly well known for his expertise in short-selling issues.
"Kevin has a fantastic combination of broad industry knowledge and providing actionable advice."
"Kevin has encyclopedic knowledge."
Gretchen Lamberg is routinely sought out by clients for counsel on payments systems and regulations.
"Gretchen is a fantastic attorney and an exceptional talent."
"Gretchen is incredibly smart and experienced."
Joel Feinberg is recognized for his high quality regulatory practice, which sees him counseling credit card providers and other lenders on significant compliance issues such as payments law, sanctions and AML.
"Joel is a trusted advisor; he understands our business and provides guidance that is comprehensive and practical."
Michael Lewis is highly sought out for his bank regulatory knowledge. He assists prominent banking clients in regulatory issues related to FinTech and bank M&A transactions, among other matters.
"Michael is a great lawyer and a responsive resource. He is always ready to help."
"Michael consistently delivers business-oriented and actionable advice."
"Michael has excellent experience. He is knowledgeable, practical and flexible."
Ranked Lawyers at
Sidley Austin LLP
USA - Nationwide
Members
Provided by Sidley Austin LLP