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Sullivan & Cromwell LLP
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Financial Services Regulation: Broker Dealer (Compliance)

About

Provided by Sullivan & Cromwell LLP

To learn about our practice, please visit https://www.sullcrom.com/PracticeListing.

Chambers Review

Provided by Chambers

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

What the Team is Known For

Sullivan & Cromwell LLP is a colossus of the US financial services space, handling sophisticated banking regulatory issues on a regular basis. Comfortable negotiating the ins and outs of Dodd-Frank regulations for systemically important clients and defending them against incursions by an array of regulatory bodies. Adept at dismissing harmful allegations relating to such crimes as rate rigging and money laundering, with noted expertise in representing clients before high level regulatory enforcement actions. Also noted for its continuing excellence in the transactional space, advising financial institutions in connection with industry-defining M&A activity. Increasing presence in the fintech space, alongside an ability to advise on cybersecurity issues affecting banking clients.

Work Highlights

  • Sullivan & Cromwell advised Discover Financial Services in its $50.6 billion all-stock merger with Capital One Financial.

Strengths

Provided by Chambers

S&C inspires confidence that it can give you the advice and support you need to reach the best possible outcome.

Financial Services Regulation: Broker Dealer (Compliance) respondent
USA

S&C has the leading capacity to provide in-depth advice with an army of regulatory lawyers.

Financial Services Regulation: Broker Dealer (Compliance) respondent
USA

S&C consistently delivers thoughtful, prompt and actionable guidance that is invaluable to in-house lawyers.

Financial Services Regulation: Broker Dealer (Compliance) respondent
USA

Sullivan & Cromwell understands that we only give them hard questions and draws upon their expertise across subjects to deliver practical answers.

Financial Services Regulation: Broker Dealer (Compliance) respondent
USA

Notable Practitioners

Provided by Chambers

Elizabeth Davy
S
Elizabeth Davy
S
Senior Statespeople
Elizabeth Davy is recognized for her extensive capabilities with respect to sanctions and AML enforcement matters in the banking sector.

Beth is a pleasure to work with and a leader in the enforcement and regulatory advisory space.

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H Rodgin Cohen
H Rodgin Cohen
Star Individuals
Rodgin Cohen is a towering figure of the US financial services landscape. He offers clients unmatched experience handling the most significant transactional and regulatory matters in the industry.

Rodgin is a legend in this space.

He is a uniquely talented force in this space.

Rodgin is the best of the best.

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Mitchell S Eitel
1
Mitchell S Eitel
1
Band 1

Mitchell Eitel is managing partner of the financial services group and is skilled at achieving the regulatory and transactional goals of his financial services clients.

Mitch is creative, practical and someone you want on your side.

He is one of the key players in this space.

Mitchell is a huge asset to have on your team.

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Sharon Cohen-Levin
1
Sharon Cohen-Levin
1
Band 1

Sharon Cohen-Levin concentrates her noted practice on banking enforcement matters emerging from AML and asset forfeiture.

Sharon is a pleasure to work with and a leader in the enforcement and regulatory advisory space.

She is one of the top lawyers I've worked with.

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C. Andrew Gerlach
2
C. Andrew Gerlach
2
Band 2

Andrew Gerlach is highly sought after by diverse financial institutions for assistance with significant M&A, including the obtaining of regulatory approvals. He is also co-head of the firm's global mergers & acquisitions group.

Andrew has an extraordinary ability to discuss complex issues with serenity and clarity.

Andrew is a superstar lawyer.

Andrew is a top trusted adviser with extremely good judgment.

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Colin Lloyd
2
Colin Lloyd
2
Band 2
Colin Lloyd combines knowledge of the regulatory issues facing both banks and broker-dealers, with standout expertise in derivatives compliance.

Colin has the ability to frame industry positions rather than just being a scribe for industry views.

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Mark J Menting
2
Mark J Menting
2
Band 2
Mark Menting dedicates his broad practice to the representation of clients in complex bank regulatory matters. In particular, he offers clients the benefit of deep transactional expertise in M&A.
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Michael T Escue
2
Michael T Escue
2
Band 2
Michael Escue maintains a comprehensive practice, which sees him advise domestic and international clients on the full suite of US banking regulatory requirements.

Michael has encyclopedic knowledge of banking regulations and has been extremely helpful in finding solutions to difficult issues.

I trust him above any other outside counsel I have worked with to give me his honest views on commercial risks.

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Camille Orme
3
Camille Orme
3
Band 3

Camille Orme is deputy managing partner of the firm’s financial services group. She is a respected practitioner of bank regulatory law. She is particularly knowledgeable regarding the regulatory aspects of the Dodd-Frank Act, including Volcker Rule compliance.

I'm not talking to a client without Camille in the room.

Camille brings incredible experience to bear.

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Jared Fishman
3
Jared Fishman
3
Band 3
Jared Fishman is reputed for his knowledge in the M&A area. He regularly advises clients on a wide range of transactional, corporate governance, disclosure and general corporate matters.

He is just a solid source of advice and counsel.

He understands how to provide practical advice.

Jared combines a unique combination of great M&A capabilities with deep insights into the regulatory landscape.

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Stephen Salley
3
Stephen Salley
3
Band 3
Stephen Salley is highlighted for his extensive capabilities on transactional and regulatory matters involving banks and other financial institutions.

Stephen is an excellent attorney.

Stephen has a unique ability to help craft solutions and to do so in a business way.

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Andrea Tokheim
4
Andrea Tokheim
4
Band 4
Andrea Tokheim is recognized for the strength of her compliance practice, which frequently sees her resolving a wide range of regulatory challenges. Clients often seek her out for assistance with the Patriot Act, AML and bank ownership issues.

Andrea has great expertise and good judgment, especially for Federal Reserve Legal interpretive questions.

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Donald J Toumey
4
Donald J Toumey
4
Band 4
Donald Toumey stands out for his extensive expertise in US banking law. He regularly advises clients on the full spectrum of compliance matters, including regulatory challenges emerging from the Bank Secrecy Act and OFAC sanctions.

Donald is exceptional.

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Ranked Lawyers at
Sullivan & Cromwell LLP

Provided by Chambers
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Band

USA - Nationwide

Financial Services Regulation: Banking (Compliance)
H Rodgin Cohen
H Rodgin Cohen
Star Individuals
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Mitchell S Eitel
1
Mitchell S Eitel
1
Band 1
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Michael T Escue
2
Michael T Escue
2
Band 2
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Camille Orme
3
Camille Orme
3
Band 3
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Andrea Tokheim
4
Andrea Tokheim
4
Band 4
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Donald J Toumey
4
Donald J Toumey
4
Band 4
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Financial Services Regulation: Banking (Enforcement & Investigations)
Elizabeth Davy
S
Elizabeth Davy
S
Senior Statespeople
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H Rodgin Cohen
1
H Rodgin Cohen
1
Band 1
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Sharon Cohen-Levin
1
Sharon Cohen-Levin
1
Band 1
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Financial Services Regulation: Broker Dealer (Compliance)
Colin Lloyd
2
Colin Lloyd
2
Band 2
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Financial Services Regulation: Financial Institutions M&A
H Rodgin Cohen
H Rodgin Cohen
Star Individuals
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Mitchell S Eitel
1
Mitchell S Eitel
1
Band 1
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C. Andrew Gerlach
2
C. Andrew Gerlach
2
Band 2
View Profile
Mark J Menting
2
Mark J Menting
2
Band 2
View Profile
Jared Fishman
3
Jared Fishman
3
Band 3
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Stephen Salley
3
Stephen Salley
3
Band 3
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