Department profile
Sidley Austin LLP

Financial Services Regulation: Broker Dealer (Compliance)

USA Guide 2026 : USA - Nationwide


Sidley Austin LLP

Rankings

About

Provided by Sidley Austin LLP

For more information on the practice, please visit the practice's page at: https://www/sidley.com/en/services/banking-and-financial-services

Chambers Review

Provided by Chambers

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


What the Team is Known For
Sidley Austin LLP offers extensive experience across a range of securities and broker-dealer matters, including the most technical aspects of equity markets, alternative trading systems and municipal securities. Noted representation of broker-dealer clients in connection with regulatory examinations, investigations and enforcement actions. Further recognized for its highly respected consumer finance practice, covering a broad range of matters including the establishment of innovative payment systems. Regularly acts on behalf of banks and non-banks in connection with complex regulatory matters and major litigation.

Work Highlights

Provided by Chambers

  • Sidley Austin represented Apollo Global Management in order to expand the permissions for the broker-dealer.

Strengths

Provided by Chambers

  • They are trusted and innovative advisers.

    Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • They consistently provide thoughtful, risk-based guidance and clear recommendations on the best paths forward.

    Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • I have the utmost confidence in the Sidley attorneys.

    Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • Sidley Austin has been good at flagging potential issues that would impact our shareholders and works to address those issues.

    Financial Services Regulation: Broker Dealer (Compliance) respondentUSA

Notable Practitioners

Provided by Chambers

  • Band 1Barbara Stettner
    Band 1Barbara Stettner

    Barbara Stettner

    Barbara Stettner impresses with the strength of her market-leading broker-dealer advisory practice, which encompasses compliance with directives established under the Dodd-Frank Act.

    • Her advice is pragmatic and commercial.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • I value Barbara’s depth of knowledge and strategic yet practical judgment.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • Barbara takes large, amorphous questions and distills them down with a lens towards business applicability.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • Barb is an outstanding practitioner and is a thought leader.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • Band 1David E Teitelbaum
    Band 1David E Teitelbaum

    David E Teitelbaum

    David Teitelbaum is co-leader of the firm’s banking, payments and fintech practice and co-leader of the firm’s fintech group, and is a widely commended name in the world of consumer finance law, noted for his extensive regulatory and transactional capabilities. He is particularly well regarded for his expertise in payments law matters.

    • He's an expert in this area but his expertise is always evolving.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • He is an island of tranquility in turbulence.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • David is an excellent attorney and trusted business adviser.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • Band 1Kevin Campion
    Band 1Kevin Campion

    Kevin Campion

    Kevin Campion maintains a prominent broker-dealer compliance practice, offering clients comprehensive guidance with respect to rules set by the SEC, SIFMA and FINRA. He is particularly well known for his expertise in short-selling issues.
    • There is no one that I trust more than him.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • Band 1W Hardy Callcott
    Band 1W Hardy Callcott

    W Hardy Callcott

    Hardy Callcott stands out for his market-leading counsel to leading US broker-dealers on the full range of compliance requirements. He is equally accomplished at steering clients through major enforcement actions initiated by state and federal regulators.
    • Hardy's thoughtful approach and ability to navigate high-stakes issues make him a trusted confidant to senior executives and boards alike.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • Hardy is a legend in this space.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • He’s an incredibly gifted lawyer.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • Band 2Lara C. Thyagarajan
    Band 2Lara C. Thyagarajan

    Lara C. Thyagarajan

    Lara Thyagarajan, with more than 15 years as leader in FINRA's enforcement department, is a trusted adviser for trading and sales practice investigations and enforcement actions.

    • Lara is responsive and practical in her approach to problems and open-minded in terms of solutions.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • Lara is an exceptional partner and one of our go-to counsel.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • Lara offers solid substantive advice backed by real-world experience.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • Band 4Gretchen E. Lamberg
    Band 4Gretchen E. Lamberg

    Gretchen E. Lamberg

    Gretchen Lamberg is co-leader of the firm’s banking, payments and fintech practice. She is routinely sought out by clients for counsel on payments systems and regulations.

    • Gretchen's deep experience, commercial understanding and willingness to work around the clock to get the deal done are unmatched.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • We trust her to advise us on any issues where outside guidance is necessary or desired.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • She is a thoughtful and detail-oriented attorney who astutely negotiates issues.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • Band 4Michael Lewis
    Band 4Michael Lewis

    Michael Lewis

    Michael Lewis is highly sought out for his bank regulatory knowledge. He assists prominent banking clients in regulatory issues related to fintech and bank M&A transactions, among other matters.

    • His attitude towards work never changes.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • He is a subject matter expert, but is uniquely able to convey or translate even the most complex requirements into understandable and digestible advice.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • Michael gives timely, practical and on-point advice. He is an overall pleasure to work with.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • Up and ComingKristin Teager
    Up and ComingKristin Teager

    Kristin Teager

    Kristin Teager has emerged as an up‑and‑coming practitioner in the payments, crypto and consumer finance sectors, where she helps clients manage legal, regulatory and compliance risks.

    • I have complete confidence in her ability to represent and advise us.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
    • Kristin consistently bridges legal, regulatory and commercial considerations in a way that builds real value.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
  • Up and ComingSean Smith
    Up and ComingSean Smith

    Sean Smith

    Sean Smith is noted for guiding clients on consumer and commercial credit regulatory matters to ensure compliance.

    • Sean combines strong business and commercial awareness with deep regulatory expertise, providing service that is both practical and solution-oriented.

      Financial Services Regulation: Broker Dealer (Compliance) respondentUSA

Ranked Individuals at Sidley Austin LLP (10)

USA - Nationwide

  • Profile image of Michael Lewis

    Michael Lewis

    Financial Services Regulation: Banking (Compliance)

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  • Profile image of Barbara Stettner

    Barbara Stettner

    Financial Services Regulation: Broker Dealer (Compliance)

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  • Profile image of Kevin Campion

    Kevin Campion

    Financial Services Regulation: Broker Dealer (Compliance)

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  • Profile image of W Hardy Callcott

    W Hardy Callcott

    Financial Services Regulation: Broker Dealer (Compliance)

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  • Profile image of W Hardy Callcott

    W Hardy Callcott

    Financial Services Regulation: Broker Dealer (Enforcement)

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  • Profile image of Lara C. Thyagarajan

    Lara C. Thyagarajan

    Financial Services Regulation: Broker Dealer (Enforcement)

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  • Profile image of David E Teitelbaum

    David E Teitelbaum

    Financial Services Regulation: Consumer Finance (Compliance)

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  • Profile image of Gretchen E. Lamberg

    Gretchen E. Lamberg

    Financial Services Regulation: Consumer Finance (Compliance)

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  • Profile image of Kristin Teager

    Kristin Teager

    Financial Services Regulation: Consumer Finance (Compliance)

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  • Profile image of Sean Smith

    Sean Smith

    Financial Services Regulation: Consumer Finance (Compliance)

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Members

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