Band 2
Provided by Susan Light
Susan Light offers clients a universe of insights gained over 30 years as a senior leader and regulatory officer inside both the New York Stock Exchange (NYSE) and the Financial Industry Regulatory Authority (FINRA). That experience and knowledge allows her to handle any securities regulatory problem that may confront broker-dealers and other financial services firms. She is particularly well suited to advise on complex investigations of securities law violations, including those involving firmwide supervisory failures.
Efficient solutions from a regulator's perspective
Sue represents large and small broker-dealers, as well as hedge funds, investment banks and other financial services providers. She helps these clients understand the regulatory landscape, design procedures to avoid regulatory problems and resolve investigations and enforcement actions. Sue's experience at the highest levels of the NYSE and FINRA is the difference that allows her to deliver quick, efficient answers and top-quality representation. And in matters that involve regulators, her extensive network of contacts allows her to successfully engage with them on her clients' behalf.
New York State Bar Association
Provided by Chambers
Susan Light is recognized for her extensive practice representing broker-dealer clients in investigations and enforcement actions by FINRA.
Provided by Chambers
She is hyper-responsive and provides practical advice.
Susan covers enforcement matters with expertise, insight and practical guidance.
Susan Light is my go-to on all things FINRA.
She is hyper-responsive and provides practical advice.
Susan covers enforcement matters with expertise, insight and practical guidance.
Susan Light is my go-to on all things FINRA.
