WilmerHale, Financial Services Regulation | Chambers USA Profile

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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

Provided by Chambers

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

1

Band 1

What the Team is Known For

WilmerHale is a consummate financial services firm, marshaling among its ranks significant ex-governmental prowess with an intricate knowledge of the regulatory landscape. Particularly recognized for its exceptionally strong broker-dealer practice, offering a deep bench of attorneys who are able to advise on the most cutting-edge regulatory matters. Additional strength in the banking regulatory space, with a solid presence in the enforcement sphere. Seasoned in representing clients before the CFPB and other regulatory agencies, also acting in related litigation.

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Work Highlights

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) respondent
USA

They provide highly strategic and effective advice.

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

WilmerHale is first-class, always going the extra mile and providing really thoughtful advice.

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

They have a deep roster of strong attorneys.

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

They provide highly strategic and effective advice.

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

WilmerHale is first-class, always going the extra mile and providing really thoughtful advice.

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

Notable Practitioners

Provided by Chambers

S

Yoon-Young Lee

S

Senior Statespeople

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.

1

Andre Owens

1

Band 1

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.

Andre is definitely the go-to expert on all broker-dealer matters.

1

Elizabeth Mitchell

1

Band 1

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

Elizabeth has deep industry knowledge and deep widespread expertise across banking institutions.

Elizabeth provides thorough advice that takes into consideration practical commercial issues as well as considering how regulators would perceive issues.

1

Noah Levine

1

Band 1

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.

Noah has a great level of expertise when it comes to litigating complex commercial matters.

1

Susan Schroeder

1

Band 1

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.

Susan has deep subject matter expertise, incredible client service and is always available.

2

Bruce H Newman

2

Band 2

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.

2

Stephanie Nicolas

2

Band 2

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.

She has an incredible depth of knowledge and experience.

4

Franca Harris Gutierrez

4

Band 4

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.

Filter by

USA - Nationwide

Financial Services Regulation: Banking (Compliance)

4

Franca Harris Gutierrez

4

Band 4

Financial Services Regulation: Banking (Enforcement & Investigations)

4

Franca Harris Gutierrez

4

Band 4

Financial Services Regulation: Broker Dealer (Compliance)

S

Yoon-Young Lee

S

Senior Statespeople

1

Andre Owens

1

Band 1

2

Bruce H Newman

2

Band 2

2

Stephanie Nicolas

2

Band 2

Financial Services Regulation: Broker Dealer (Enforcement)

1

Elizabeth Mitchell

1

Band 1

1

Susan Schroeder

1

Band 1

Financial Services Regulation: Consumer Finance (Litigation)

1

Noah Levine

1

Band 1

Members

Provided by WilmerHale

Elizabeth Mitchell

Franca Harris Gutierrez

Stephanie Nicolas

Susan Schroeder