Chambers Review

Provided by Chambers

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

4
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.

Work Highlights

  • Fried, Frank, Harris, Shriver & Jacobson advised UBS, TD Securities and Bank of Nova Scotia on over 6,200 structured products issuances, representing approximately $25 billion.

Strengths

Provided by Chambers

Notable Practitioners

Provided by Chambers

Joseph P Vitale
2
Joseph P Vitale
2
Band 2

Joseph Vitale is an expert on emerging trends in the bank regulatory space and is equally recognized for his proficiency in M&A.

Joseph is very detail-oriented, highly intelligent and is very committed.

Joseph has a talent for making complex things sound clear and straight forward.

Nihal Patel
3
Nihal Patel
3
Band 3
Nihal Patel has extensive experience of handling a range of broker-dealer related compliance issues, including Dodd-Frank protocols.

Nihal is very practical and knows our business super well.

Ranked Lawyers at
Fried, Frank, Harris, Shriver & Jacobson LLP

Provided by Chambers
Filter by
Band

USA - Nationwide

Financial Services Regulation: Banking (Compliance)

Joseph P Vitale
4
Joseph P Vitale
4
Band 4
Financial Services Regulation: Broker Dealer (Compliance)

Nihal Patel
3
Nihal Patel
3
Band 3
Financial Services Regulation: Financial Institutions M&A

Joseph P Vitale
2
Joseph P Vitale
2
Band 2