Department profile
Financial Services Regulation: Broker Dealer (Compliance & Enforcement)
USA Guide 2026 : USA - Nationwide
Rankings
Ranked Individuals
Ranked Individuals
About
Provided by WilmerHale
The financial services industry is in flux, facing accelerated rates of change in technology, product innovation and market structure. WilmerHale lawyers are leaders in effectively addressing the full spectrum of issues affecting financial services industry participants, from international banks, FinTech startups and specialty consumer financial product firms to broker-dealers, investment advisors, and firms accessing global equity and debt markets. Our lawyers bring to bear decades of experience as advocates and regulators and in industry when navigating the complex questions that financial industry participants face. We serve clients by shaping the regulatory environment; counseling regarding rules and regulations; structuring financial industry transactions and products; protecting intellectual property, cybersecurity and privacy; and advocating for firms and individuals in enforcement actions and litigation.
To learn more about our Financial Services practice, please visit: https://www.wilmerhale.com/en/solutions/financial-services
Chambers Review
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Work Highlights
Provided by Chambers
WilmerHale provided regulatory advice to 24X National Exchange.
Strengths
Provided by Chambers
They have a deep roster of strong attorneys.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSAThey provide highly strategic and effective advice.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSAWilmerHale is first-class, always going the extra mile and providing really thoughtful advice.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
Notable Practitioners
Provided by Chambers
Senior Statespeople 
Senior Statespeople Yoon-Young Lee
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. Yoon-Young is an established expert in numerous areas of securities law.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
Band 1 
Band 1 Andre Owens
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. He is chair of the firm's broker-dealer compliance and regulation practice as well as cochair of the securities and financial regulation practice.
Andre is an established go-to expert on numerous topics in securities laws.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSAAndre is definitely the go-to expert on all broker-dealer matters.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
Band 1 
Band 1 Noah Levine
Noah Levine is a skilled litigator and highly regarded for his work defending major class actions on behalf of consumer-facing organizations.
Noah is strategic, creative and adept at handling complicated issues.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSANoah has a great level of expertise when it comes to litigating complex commercial matters.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
Band 1 
Band 1 Susan Schroeder
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 vice chair of the firm's securities and financial services department.
Susan is our go-to for high-risk complex matters.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSASusan has deep subject matter expertise, incredible client service and is always available.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
Band 2 
Band 2 Bruce H Newman
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. Bruce is efficient in providing clients with clear advice on complex issues in a practical way.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
Band 2 
Band 2 Stephanie Nicolas
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 an excellent attorney and the person that we engage with the most because of her commerciality.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSAShe has an incredible depth of knowledge and experience.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
Band 4 
Band 4 Franca Harris Gutierrez
Franca Harris Gutierrez is chair of the firm's financial institutions practice. She 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.
Franca offers really practical advice on how to move matters forward with the federal government.
Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
Ranked Individuals at WilmerHale (8)
USA - Nationwide
Franca Harris Gutierrez
Financial Services Regulation: Banking (Compliance)
View profile Franca Harris Gutierrez
Financial Services Regulation: Banking (Enforcement & Investigations)
View profile Yoon-Young Lee
Financial Services Regulation: Broker Dealer (Compliance)
View profile Andre Owens
Financial Services Regulation: Broker Dealer (Compliance)
View profile Bruce H Newman
Financial Services Regulation: Broker Dealer (Compliance)
View profile Stephanie Nicolas
Financial Services Regulation: Broker Dealer (Compliance)
View profile Susan Schroeder
Financial Services Regulation: Broker Dealer (Enforcement)
View profile Noah Levine
Financial Services Regulation: Consumer Finance (Litigation)
View profile
Members
Provided by WilmerHale
Franca Harris Gutierrez
View profile of Franca Harris GutierrezAndre Owens
View profile of Andre OwensYoon-Young Lee
View profile of Yoon-Young LeeNoah Levine
View profile of Noah LevineStephanie Nicolas
View profile of Stephanie NicolasBruce H Newman
View profile of Bruce H NewmanSusan Schroeder
View profile of Susan Schroeder
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