Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2024 : USA - Nationwide
Band 4
Contact number
+1 212 728 8000Chambers Review
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
- 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."
"The team is great at navigating to find pathways to success."
"Wilkie's legal knowledge and judgment is exceptional."
"The team is great at navigating to find pathways to success."
Notable Practitioners
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."
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."