
Financial Services Regulation: Broker Dealer (Compliance)
USA Guide 2026 : USA - Nationwide
Rankings

Ranked Individuals
Ranked Individuals
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
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) respondentUSAThey consistently provide thoughtful, risk-based guidance and clear recommendations on the best paths forward.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSAI have the utmost confidence in the Sidley attorneys.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSASidley 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 1 
Band 1 
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) respondentUSAI value Barbara’s depth of knowledge and strategic yet practical judgment.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSABarbara takes large, amorphous questions and distills them down with a lens towards business applicability.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSABarb is an outstanding practitioner and is a thought leader.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
Band 1 
Band 1 
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) respondentUSAHe is an island of tranquility in turbulence.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSADavid is an excellent attorney and trusted business adviser.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
Band 1 
Band 1 
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 1 
Band 1 
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) respondentUSAHardy is a legend in this space.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSAHe’s an incredibly gifted lawyer.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
Band 2 
Band 2 
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) respondentUSALara is an exceptional partner and one of our go-to counsel.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSALara offers solid substantive advice backed by real-world experience.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
Band 4 
Band 4 
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) respondentUSAWe trust her to advise us on any issues where outside guidance is necessary or desired.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSAShe is a thoughtful and detail-oriented attorney who astutely negotiates issues.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
Band 4 
Band 4 
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) respondentUSAHe 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) respondentUSAMichael gives timely, practical and on-point advice. He is an overall pleasure to work with.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
Up and Coming 
Up and Coming 
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) respondentUSAKristin consistently bridges legal, regulatory and commercial considerations in a way that builds real value.
Financial Services Regulation: Broker Dealer (Compliance) respondentUSA
Up and Coming 
Up and Coming 
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)
Members
Provided by Sidley Austin LLP

Michael Lewis
View profile of Michael Lewis
W Hardy Callcott
View profile of W Hardy Callcott
David E Teitelbaum
View profile of David E Teitelbaum
Kevin Campion
View profile of Kevin Campion
Barbara Stettner
View profile of Barbara Stettner
Gretchen E. Lamberg
View profile of Gretchen E. Lamberg
Lara C. Thyagarajan
View profile of Lara C. Thyagarajan
Kristin Teager
View profile of Kristin Teager
Sean Smith
View profile of Sean Smith
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