Financial Services Regulation: Banking (Compliance)

Andre Owens maintains a highly regarded practice, in which he advises on the full spectrum of regulations affecting US broker-dealers. His prior high level experience at the SEC earns him particular praise.

"Andre understands complex business and technical requirements and ensures that they are developed within the applicable regulatory framework."

"He really cracks problems."

"Andre is a fabulous lawyer in all aspects."

Elizabeth Mitchell is experienced in advising broker-dealers on investigations and enforcement proceedings brought by financial regulators, including FINRA and the SEC.

"Elizabeth is an exceptional lawyer, she is extremely responsive, commercial and a pleasure to work with."

"She is incredibly thorough and knowledgeable."

Noah Levine is a skilledlitigator and highly regarded for his work defending major class actions on behalf of consumer-facing organizations.

"Noah is a strategic thinker and adept at putting complex issues into an easily digestible form."

Yoon-Young Lee demonstrates an impeccable grasp of the regulatory climate faced by broker-dealers and associated market participants. Examples of her work include acting as regulatory counsel to SIFMA and representing clients before the SEC in matters of policy compliance.

"She is very reliable and incredibly thoughtful."

"She is really phenomenal."

Bruce Newman enjoys an excellent reputation in the New York market for his representation of financial organizations in the comprehensive range of broker-dealer regulatory matters.

"He has been everywhere in the industry and is very effective."

Stephanie Nicolas is sought after for her expertise regarding the regulation of broker-dealers. She routinely provides strategic advice to clients undergoing complex SEC and FINRA investigations.

"Stephanie is a really smart, thoughtful lawyer who is thorough in the work that she does."

Susan Schroeder draws from a tremendous wealth of expertise to advise clients on regulatory compliance and enforcement, with clients benefiting from her experience as the former head of enforcement at FINRA.

"She is extremely knowledgable and her past experience at FINRA is important because she gets the regulatory mindset and can predict regulators' responses. She is also great in her business mindset, giving practical advice which balances the needs of the business."

Franca Harris Gutierrez routinely advises banks and financial services providers on a range of regulatory issues. She is also highly regarded by clients for her knowledge of OCC regulations.

"She has a real breadth of industry expertise."

"Franca has a wealth of knowledge and does an excellent job of managing risk."

"She is always up to speed on what really matters and gives practical advice about how to move forward strategically."