Department profile
Davis Polk & Wardwell LLP

Financial Services Regulation: Broker Dealer (Compliance)

USA Guide 2026 : USA - Nationwide

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Davis Polk & Wardwell LLP

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About

Provided by Davis Polk & Wardwell LLP

For more information about Davis Polk’s practices, please visit https://www.davispolk.com/capabilities.

Chambers Review

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

What the Team is Known For
Davis Polk & Wardwell LLP maintains its position at the forefront of the financial services regulatory space as the first port of call for institutions seeking up-to-date expertise. A market-leading offering in banking regulatory compliance is bolstered by strong showings in banking enforcement and transactional matters and the broker-dealer regulatory space. Helps bring to fruition sophisticated M&A deals involving financial institutions. Marries traditional legal acumen and experience with the innovative use of technology, producing the industry-standard policy and procedure manual for Volcker matters and a subscription-based Regulatory Tracker. Also noted for its knowledge of global regulatory systems, including the Basel III capital and liquidity rules.
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Work Highlights

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  • Davis Polk & Wardwell LLP advised AssetMark Financial Holdings on its $2.7 billion acquisition by private equity firm GTCR.

Strengths

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  • Davis Polk is proficient in reaching practical solutions.

    Financial Services Regulation: Broker Dealer (Compliance) respondentUSA

  • Davis Polk has incredible connections within the industry and has a deep bench of attorneys and associates.

    Financial Services Regulation: Broker Dealer (Compliance) respondentUSA

  • Davis Polk is best in class.

    Financial Services Regulation: Broker Dealer (Compliance) respondentUSA

Notable Practitioners

Provided by Chambers

  • Annette Nazareth
    Annette Nazareth

    Annette Nazareth

    Former SEC director Annette Nazareth possesses great insight into the regulatory challenges faced by broker-dealers and their affiliated organizations. She is renowned for her ability to advise clients on SEC enforcement proceedings and ensure their compliance with a wide range of regulatory agencies.

    • Annette is a great judge of people, situations and issues.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
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  • Margaret Tahyar
    Margaret Tahyar

    Margaret Tahyar

    Margaret Tahyar is co-head of the financial institutions team at the firm. She comes equipped with extensive legal acumen in financial regulatory matters. She is highly sought after for her expertise regularly advising domestic and international banks, as well as FinTech companies, on cutting-edge compliance issues.

    • Margaret is the preeminent lawyer in the financial space. I am just honored to have her in my rolodex.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
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  • Luigi L De Ghenghi
    Luigi L De Ghenghi

    Luigi L De Ghenghi

    Luigi De Ghenghi is a leading practitioner of financial services law, offering broad-ranging expertise in bank regulatory matters and M&A transactions.
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  • Zachary Zweihorn
    Zachary Zweihorn

    Zachary Zweihorn

    Zachary Zweihorn regularly advises broker-dealers on strategic transactions and the associated regulatory requirements. He is recognized for providing clients with a comprehensive overview of SEC and FINRA rules.

    • Zach is extremely intelligent and knowledgeable of the securities regulatory issues and broker dealers in particular.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA

    • He is super smart and innovative in dealing with problems.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
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  • David L Portilla
    David L Portilla

    David L Portilla

    David Portilla is co-head of the financial institutions team. He focuses his practice on all aspects of banking regulation, representing both US and non-US financial institutions. He is particularly sought after for his insights on the Dodd-Frank Act and amendments to the Volcker Rule.

    • David is practical. He understands and has deep knowledge of the banking regulators.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
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  • Gabriel Rosenberg
    Gabriel Rosenberg

    Gabriel Rosenberg

    Gabriel Rosenberg helps clients navigate the complex repercussions of regulatory reform in the financial services sector. He routinely counsels financial institutions on their compliance with the latest changes in state and federal legislation, including all aspects of the Dodd-Frank Act.
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  • Daniel Stipano
    Daniel Stipano

    Daniel Stipano

    Daniel Stipano is a strong choice for advisory assistance on challenging bank regulatory and enforcement matters. He is particularly experienced with respect to the methods of the OCC.
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  • Eric McLaughlin
    Eric McLaughlin

    Eric McLaughlin

    Eric McLaughlin is recognized for his transactional experience acting for financial institutions on sales and acquisitions.

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Ranked Individuals at Davis Polk & Wardwell LLP (9)

USA - Nationwide

  • Profile image of Margaret Tahyar

    Margaret Tahyar

    Financial Services Regulation: Banking (Compliance)

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  • Profile image of Luigi L De Ghenghi

    Luigi L De Ghenghi

    Financial Services Regulation: Banking (Compliance)

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  • Profile image of David L Portilla

    David L Portilla

    Financial Services Regulation: Banking (Compliance)

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  • Profile image of Gabriel Rosenberg

    Gabriel Rosenberg

    Financial Services Regulation: Banking (Compliance)

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  • Profile image of Daniel Stipano

    Daniel Stipano

    Financial Services Regulation: Banking (Enforcement & Investigations)

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  • Profile image of Annette Nazareth

    Annette Nazareth

    Financial Services Regulation: Broker Dealer (Compliance)

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  • Profile image of Zachary Zweihorn

    Zachary Zweihorn

    Financial Services Regulation: Broker Dealer (Compliance)

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  • Profile image of Luigi L De Ghenghi

    Luigi L De Ghenghi

    Financial Services Regulation: Financial Institutions M&A

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  • Profile image of Eric McLaughlin

    Eric McLaughlin

    Financial Services Regulation: Financial Institutions M&A

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