Department profile
Jones Day

Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

USA Guide 2026 : USA - Nationwide

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Jones Day

Rankings

Chambers Review

Provided by Chambers

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

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.
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Work Highlights

Provided by Chambers

  • Jones Day represented Citadel Securities in its challenge to the SEC.

Strengths

Provided by Chambers

  • They are thoughtful, clever and effective written and oral advocates.

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

  • Jones Day is practical, strategic and thinks outside the box.

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

  • Jones Day provides sophisticated analysis of laws and regulations governing broker-dealers.

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

Notable Practitioners

Provided by Chambers

  • Laura S Pruitt
    Laura S Pruitt

    Laura S Pruitt

    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.

    • She is always business-friendly and quick to offer solutions.

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

    • She has a domain expertise in SEC and FINRA rules and regulations.

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

    • Laura provides practical advice on how to manage issues based on FINRA's focus.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
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Ranked Individuals at Jones Day (1)

USA - Nationwide

  • Profile image of Laura S Pruitt

    Laura S Pruitt

    Financial Services Regulation: Broker Dealer (Compliance)

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