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Jones Day
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Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

Chambers Review

Provided by Chambers

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

4
Band 4

What the Team is Known For

Jones Day possesses a strong practice with a broad base of experience in broker-dealer matters. The team boasts practitioners who have served in the SEC and Department of Justice. It has impressive expertise in advising on regulatory matters involving FINRA and other SROs, as well as state and federal securities rules. The firm is often approached by clients to provide insight into transactional activities, and has noted expertise in the FinTech industry.

Strengths

Provided by Chambers

"The firm's breadth and depth of expertise is excellent, coupled with a balance of commercial considerations and market insights."

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

"Jones Day provides a first rate service."

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

"Jones Day is always able to help us sort through complex issues."

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

Notable Practitioners

Provided by Chambers

Laura S Pruitt
2
Laura S Pruitt
2
Band 2

Laura Pruitt's noted compliance practice sees her highly recommended for her extensive knowledge of the regulatory laws affecting broker-dealers. She regularly advises on key directives set by the SEC and FINRA and offers particular strength in the representation of alternative trading systems.

"Laura's deep knowledge of the securities industry allows her to provide excellent advice and counsel that can be implemented in a commercially reasonable manner."

"Her unwavering commitment to excellence and innovative problem-solving, enriched by her extensive understanding of past rulings and legal literature, never ceases to amaze."

"Laura is a sophisticated and excellent lawyer."

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Ranked Lawyers at
Jones Day

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USA - Nationwide

Financial Services Regulation: Broker Dealer (Compliance)
Laura S Pruitt
2
Laura S Pruitt
2
Band 2
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