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Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

About

Provided by Cleary Gottlieb Steen & Hamilton LLP

For more information about Cleary Gottlieb's Banking and Financial Institutions practice, please visit https://www.clearygottlieb.com/practice-landing/banking-and-financial-institutions

Chambers Review

Provided by Chambers

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

3
Band 3

What the Team is Known For

Cleary Gottlieb Steen & Hamilton has an established national financial services practice representing a variety of financial institutions and large industry groups. The firm has huge experience in broker-dealer regulatory matters and frequently advises clients on compliance and enforcement issues. The team also enjoys a respectable reputation defending financial institutions in investigation and enforcement actions brought by a variety of regulatory bodies, including the SEC, CFTC and OCC. They offer additional strength in M&A matters, advising clients on the regulatory aspects of national and international transactions.

Work Highlights

  • Cleary Gottlieb Steen & Hamilton advised ING Bank in various initiatives related to its US financial services activities, including obtaining Federal Reserve approval for a new US representative office in Texas.

Strengths

Provided by Chambers

Cleary is familiar with complex and sophisticated matters. It is in their DNA.

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

The team is exceedingly knowledgeable on all aspects of the law.

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

Cleary can be trusted with the most complex and sophisticated matters.

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

Cleary has extremely intelligent and knowledgeable attorneys who we go to for our most complex questions.

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

Notable Practitioners

Provided by Chambers

Derek M Bush
1
Derek M Bush
1
Band 1

Derek Bush is a market-leading expert on issues of bank regulation, and routinely advises clients on Volcker Rule compliance and other directives under the Dodd-Frank Act. He is also skilled at representing financial institutions in major M&A.

He is an incredibly thoughtful and practical attorney.

Derek is a very good and results-driven lawyer.

Derek is a strategic thinker and sees the big picture.

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Hugh Conroy
1
Hugh Conroy
1
Band 1

Hugh Conroy is sought after by domestic and international financial institutions for the strength of his advice on diverse issues, including compliance with the Dodd-Frank Act.

He has experience in-house so provides really valuable perspectives.

Hugh is one of the top banking attorneys in the world and is highly supportive.

Beyond his impressive technical expertise, he offers practical suggestions and solutions on complex issues.

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James Burns
2
James Burns
2
Band 2
James Burns is noted for his high level experience at the SEC and his ability to advise major clearing houses on regulatory questions.

James is very knowledgeable about all the regulations that are impactful to our business.

He has significant SEC experience which makes him a critical asset.

James is an excellent and reliable adviser.

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Brandon M Hammer
3
Brandon M Hammer
3
Band 3
Brandon Hammer capably acts for financial markets clients in a range of contexts, including cross-border advice and SEC regulations.

Brandon is extremely knowledgeable and can explain complex concepts in a simple manner.

He is an excellent commercially-minded lawyer.

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Brant Brown
3
Brant Brown
3
Band 3

Brant Brown utilizes his previous experience at FINRA to offer large national and international clients insightful advice on FINRA examinations and investigations, with additional expertise on SEC compliance.

He is a very detail-oriented and knowledgeable lawyer.

Brant Brown is an outstanding regulatory lawyer.

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Lauren Semrad
U
Lauren Semrad
U
Up and Coming
Rising star Lauren Semrad is noted for her work assisting clients with debanking and strategic compliance advice on a national and global scale.

She is able to synthesize regulatory requirements in a really thoughtful way.

Lauren is very client-oriented and provides pragmatic advice.

Lauren is very smart, thoughtful and helpful.

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Ranked Lawyers at
Cleary Gottlieb Steen & Hamilton LLP

Provided by Chambers
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Band

USA - Nationwide

Financial Services Regulation: Banking (Compliance)
Derek M Bush
1
Derek M Bush
1
Band 1
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Hugh Conroy
1
Hugh Conroy
1
Band 1
View Profile
Lauren Semrad
U
Lauren Semrad
U
Up and Coming
View Profile
Financial Services Regulation: Broker Dealer (Compliance)
James Burns
2
James Burns
2
Band 2
View Profile
Brandon M Hammer
3
Brandon M Hammer
3
Band 3
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Brant Brown
3
Brant Brown
3
Band 3
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Financial Services Regulation: Financial Institutions M&A
Derek M Bush
2
Derek M Bush
2
Band 2
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Members

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