Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2024 : USA - Nationwide
Band 1
Contact number
202-663-6000About
Provided by WilmerHale
The financial services industry is in flux, facing accelerated rates of change in technology, product innovation and market structure. WilmerHale lawyers are leaders in effectively addressing the full spectrum of issues affecting financial services industry participants, from international banks, FinTech startups and specialty consumer financial product firms to broker-dealers, investment advisors, and firms accessing global equity and debt markets. Our lawyers bring to bear decades of experience as advocates and regulators and in industry when navigating the complex questions that financial industry participants face. We serve clients by shaping the regulatory environment; counseling regarding rules and regulations; structuring financial industry transactions and products; protecting intellectual property, cybersecurity and privacy; and advocating for firms and individuals in enforcement actions and litigation.
To learn more about our Financial Services practice, please visit: https://www.wilmerhale.com/en/solutions/financial-services
Chambers Review
WilmerHale is a consummate financial services firm, marshaling among its ranks significant ex-governmental prowess with an intricate knowledge of the regulatory landscape. Particularly recognized for its exceptionally strong broker-dealer practice, offering a deep bench of attorneys who are able to advise on the most cutting-edge regulatory matters. Additional strength in the banking regulatory space, with a solid presence in the enforcement sphere. Seasoned in representing clients before the CFPB and other regulatory agencies, also acting in related litigation.
Work Highlights
- WilmerHale assisted JPMorgan Securities with responding to a FINRA investigation regarding the client's market access controls.
Strengths
Provided by Chambers
"WilmerHale provides thoughtful and thorough advice related to complex and nuanced matters. The lawyers have deep expertise."
"WilmerHale is consistently responsive and provides excellent service."
"The team is strategic and aware of business concerns."
"WilmerHale provides thoughtful and thorough advice related to complex and nuanced matters. The lawyers have deep expertise."
"WilmerHale is consistently responsive and provides excellent service."
"The team is strategic and aware of business concerns."
Notable Practitioners
Andre Owens maintains a highly regarded practice, in which he advises on the full spectrum of regulations affecting US broker-dealers. His prior high level experience at the SEC earns him particular praise.
"Andre understands complex business and technical requirements and ensures that they are developed within the applicable regulatory framework."
"He really cracks problems."
"Andre is a fabulous lawyer in all aspects."
Elizabeth Mitchell is experienced in advising broker-dealers on investigations and enforcement proceedings brought by financial regulators, including FINRA and the SEC.
"Elizabeth is an exceptional lawyer, she is extremely responsive, commercial and a pleasure to work with."
"She is incredibly thorough and knowledgeable."
Noah Levine is a skilledlitigator and highly regarded for his work defending major class actions on behalf of consumer-facing organizations.
"Noah is a strategic thinker and adept at putting complex issues into an easily digestible form."
Yoon-Young Lee demonstrates an impeccable grasp of the regulatory climate faced by broker-dealers and associated market participants. Examples of her work include acting as regulatory counsel to SIFMA and representing clients before the SEC in matters of policy compliance.
"She is very reliable and incredibly thoughtful."
"She is really phenomenal."
Bruce Newman enjoys an excellent reputation in the New York market for his representation of financial organizations in the comprehensive range of broker-dealer regulatory matters.
"He has been everywhere in the industry and is very effective."
Stephanie Nicolas is sought after for her expertise regarding the regulation of broker-dealers. She routinely provides strategic advice to clients undergoing complex SEC and FINRA investigations.
"Stephanie is a really smart, thoughtful lawyer who is thorough in the work that she does."
Susan Schroeder draws from a tremendous wealth of expertise to advise clients on regulatory compliance and enforcement, with clients benefiting from her experience as the former head of enforcement at FINRA.
"She is extremely knowledgable and her past experience at FINRA is important because she gets the regulatory mindset and can predict regulators' responses. She is also great in her business mindset, giving practical advice which balances the needs of the business."
Franca Harris Gutierrez routinely advises banks and financial services providers on a range of regulatory issues. She is also highly regarded by clients for her knowledge of OCC regulations.
"She has a real breadth of industry expertise."
"Franca has a wealth of knowledge and does an excellent job of managing risk."
"She is always up to speed on what really matters and gives practical advice about how to move forward strategically."
Ranked Lawyers at
WilmerHale
USA - Nationwide