Chambers Review

Provided by Chambers

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

4
Band 4

What the Team is Known For

McGuireWoods LLP has a notable broker-dealer practice assisting large banks, investment advisers and other financial services companies in an array of investigations primarily by FINRA and the SEC. The team also regularly guide clients through compliance interpretations and policies at both the state and federal level.

Strengths

Provided by Chambers

Notable Practitioners

Provided by Chambers

Cheryl L Haas
2
Cheryl L Haas
2
Band 2
Cheryl Haas has a well-regarded practice advising broker-dealer clients in SEC and FINRA investigations.

She is super smart, responsive and very good with the work.

Cheryl is a really good collaborator and clearly has a lot of good experience and knowledge.

Cheryl has extensive experience in representing clients in front of different regulators. She has excellent judgment and a great approach to client service.

Elizabeth Hogan
2
Elizabeth Hogan
2
Band 2
Elizabeth Hogan is the cochair of the firm's securities enforcement and regulatory counseling group. As the former senior vice president and leader of Market Regulation Enforcement at the Financial Industry Regulatory Authority, she is well placed to advise broker-dealers on enforcement matters.

Elizabeth is terrific and anticipates issues.

She has deep expertise on broker-dealer laws is a wonderful resource on regulatory matters.

John V Ayanian
3
John V Ayanian
3
Band 3
John Ayanian is a noted attorney, well regarded for his broad-ranging capabilities on broker-dealer compliance matters. He is routinely called upon to provide counsel on issues relating to SEC and FINRA rules.

John’s strength is distilling an issue to its core and providing actionable, practical advice.

John has an encyclopedic knowledge of the area and the industry.

John has a significant scope of knowledge and an ability to deliver efficient and practical advice.

Ranked Lawyers at
McGuireWoods LLP

Provided by Chambers
Filter by
Band

USA - Nationwide

Financial Services Regulation: Broker Dealer (Compliance)

John V Ayanian
3
John V Ayanian
3
Band 3
Financial Services Regulation: Broker Dealer (Enforcement)

Cheryl L Haas
2
Cheryl L Haas
2
Band 2
Elizabeth Hogan
2
Elizabeth Hogan
2
Band 2