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Schulte Roth & Zabel LLP
Department profile | Schulte Roth & Zabel LLP
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

Schulte Roth & Zabel LLP has a well-regarded team of practitioners with strengths in compliance, enforcement and litigation. The firm is regularly sought out to advise on compliance with SEC, SRO and Federal Reserve Board rules, along with criminal proceedings and investigations. It has a niche expertise in insider trading matters and is noted for its work in emerging industries such as blockchain and cryptocurrency. The firm has particularly impressive cross-border capabilities.

Work Highlights

  • Schulte Roth & Zabel represented multiple broker-dealers and hedge fund clients regarding their obligation to maintain and preserve electronic communications.

Strengths

Provided by Chambers

The firm has an excellent understanding of both legal and business complexities of issues and an inherent ability to see the big picture.

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

Schulte Roth & Zabel gives very detailed and sophisticated analysis of issues.

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

Notable Practitioners

Provided by Chambers

Julian Rainero
3
Julian Rainero
3
Band 3
Clients repeatedly turn to Julian Rainero for his dependable counsel on broker-dealer regulatory compliance matters. He is particularly respected for his expertise with alternative trading systems and often advises on rule-settings by the SEC.

Julian is an exceptional attorney with an incredible intellect and ability to apply complex legal theories to our business operations.

He is knowledgeable, insightful and prepared.

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Ranked Lawyers at
Schulte Roth & Zabel LLP

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USA - Nationwide

Financial Services Regulation: Broker Dealer (Compliance)
Julian Rainero
3
Julian Rainero
3
Band 3
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