/Home/USA/Financial Services Regulation: Broker Dealer (Compliance & Enforcement) in USA - Nationwide/Willkie Farr & Gallagher LLP
View profile of Willkie Farr & Gallagher LLP
Department profile
Willkie Farr & Gallagher LLP
Department profile | Willkie Farr & Gallagher 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

Willkie Farr & Gallagher LLP has a highly regarded team of lawyers, noted for their expert handling of diverse broker-dealer matters. Regularly utilized by a broad array of clients, including investment banks, market makers and FinTech companies. Often sought out for assistance with complex regulatory investigations and examinations by diverse regulatory authorities, including the SEC and CFTC.

Work Highlights

Provided by Willkie Farr & Gallagher LLP

  • Willkie Farr & Gallagher LLP represented The Options Clearing Corporation in SEC and CFTC investigations into its compliance with its SEC-approved stress testing and clearing fund methodology rules.

Strengths

Provided by Chambers

"Wilkie's legal knowledge and judgment is exceptional."

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

"The team is great at navigating to find pathways to success."

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

Notable Practitioners

Provided by Chambers

Elizabeth P Gray
2
Elizabeth P Gray
2
Band 2

Elizabeth Gray concentrates her practice on the representation of securities market participants in high-stakes enforcement matters, including SEC and CFTC investigations.

"Elizabeth has deep experience in the broker-dealer industry and is a highly respected advisor."

"Elizabeth Gray is spectacular."

View Profile
Matthew Comstock
3
Matthew Comstock
3
Band 3

Matthew Comstock is highly regarded for his expertise in broker-dealer compliance matters. He routinely provides counsel to clients undergoing examination by the SEC and FINRA.

"He is an excellent resource for SEC matters."

View Profile

Ranked Lawyers at
Willkie Farr & Gallagher LLP

Provided by Chambers
Filter by
Band

USA - Nationwide

Financial Services Regulation: Broker Dealer (Compliance)
Matthew Comstock
3
Matthew Comstock
3
Band 3
View Profile
Financial Services Regulation: Broker Dealer (Enforcement)
Elizabeth P Gray
2
Elizabeth P Gray
2
Band 2
View Profile