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Fried, Frank, Harris, Shriver & Jacobson LLP

Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

USA Guide 2026 : USA - Nationwide

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Fried, Frank, Harris, Shriver & Jacobson LLP

Rankings

Chambers Review

Provided by Chambers

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

Band 4

What the Team is Known For
Fried, Frank, Harris, Shriver & Jacobson LLP is recognized for its expansive broker-dealer practice. Significant and often global clients bring complex compliance and enforcement matters surrounding actions and changes by the SEC, FINRA and other regulators. Also noted for its expertise in derivatives litigation.
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Strengths

Provided by Chambers

  • They have excellent judgment and understanding of the relevant subject matter.

    Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

  • They are always willing to help.

    Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

  • Fried Frank is really great at combining legal and practical, commercial advice.

    Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

Notable Practitioners

Provided by Chambers

  • Joseph P Vitale
    Joseph P Vitale

    Joseph P Vitale

    Joseph Vitale leads the firm's bank regulatory practice. He is an expert on emerging trends in the bank regulatory space and is equally recognized for his proficiency in M&A.

    • He has remarkable industry knowledge.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

    • He has his finger on the pulse of the market.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

    • Joseph is extremely knowledgeable of banking regulation across jurisdictions, especially in its application to private capital.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
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  • Nihal Patel
    Nihal Patel

    Nihal Patel

    Nihal Patel has extensive experience of handling a range of broker-dealer related compliance issues, including Dodd-Frank protocols.

    • Nihal is practical and commercial.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

    • He always provides thoughtful, clear and concise guidance that is easy to operationalize.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

    • Nihal is down to earth, pragmatic, can think outside the box and is a real pleasure to work with.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
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Ranked Individuals at Fried, Frank, Harris, Shriver & Jacobson LLP (3)

USA - Nationwide

  • Profile image of Joseph P Vitale

    Joseph P Vitale

    Financial Services Regulation: Banking (Compliance)

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  • Profile image of Nihal Patel

    Nihal Patel

    Financial Services Regulation: Broker Dealer (Compliance)

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  • Profile image of Joseph P Vitale

    Joseph P Vitale

    Financial Services Regulation: Financial Institutions M&A

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