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

Chambers Review

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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.

Work Highlights

  • Jones Day filed an amicus brief for American Free Enterprise Chamber of Commerce in support of petitioner Alpine Securities' challenge to the constitutionality of FINRA. This was in connection with the appeal pending in the DC Circuit Court of Appeals in Alpine Securities v FINRA.

Strengths

Provided by Chambers

Jones Day can handle any broker-dealer issue.

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

The team has practical market and regulatory knowledge in the US.

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

Notable Practitioners

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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.

She is a very sharp lawyer who knows the industry well, she is highly technical.

Laura's advice is phenomenal and practical.

Laura has a very practical touch.

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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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