Department profile
Willkie Farr & Gallagher LLP

Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

USA Guide 2026 : USA - Nationwide

Share profile

Willkie Farr & Gallagher LLP

Rankings

Chambers Review

Provided by Chambers

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

Band 4

What the Team is Known For
Willkie Farr & Gallagher LLP has a highly regarded team of lawyers, noted for their expert handling of diverse broker-dealer matters. Regularly utilized by a broad array of clients, including investment banks, market makers and FinTech companies. Often sought out for assistance with complex regulatory investigations and examinations by diverse regulatory authorities, including the SEC and CFTC.
View ranking table

Work Highlights

Provided by Chambers

  • Willkie Farr & Gallagher advised Victory Capital Holdings in its strategic partnership with Amundi.

Strengths

Provided by Chambers

  • Willkie helps their clients reach the right business decision.

    Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

  • Willkie Farr is strategic, responsive and consistently sharp.

    Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

  • They are always there to help us deal with the most complicated fact patterns and provide clear guidance.

    Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

Notable Practitioners

Provided by Chambers

  • Matthew Comstock
    Matthew Comstock

    Matthew Comstock

    Matthew Comstock is highly regarded for his expertise in broker-dealer compliance matters. He routinely provides counsel to clients undergoing examination by the SEC and FINRA.

    • Matt is a tremendous broker dealer lawyer in the complex world of capital and margin requirements & considerations.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
    View profile

Ranked Individuals at Willkie Farr & Gallagher LLP (1)

USA - Nationwide

What success is built on

Chambers is the leading data and intelligence partner for the legal sector.

Explore thought leadership