Wayne Aaron

Leveraging considerable experience, Wayne Aaron helps broker-dealers, other market participants and their management stay ahead of ever-changing financial services regulatory requirements. He is committed to excellent client service, whether in providing ongoing regulatory counsel and analysis, managing regulatory and internal investigations deftly, or navigating complex regulatory or enforcement proceedings.

Wayne provides counsel on various broker-dealer regulation and enforcement matters, investment adviser issues, government and internal investigations, market structure and trading matters, fintech issues, and financial services firm acquisitions. He has deep relationships at the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), well-positioning him to advise broker-dealers, fintech firms and other market participants on applicable rules and regulations, and market practices relating to sales and trading and market-making practices, electronic trading and order routing, research publication and conflicts of interest, raising capital and other market activities. For firms required to become FINRA members and comply with FINRA requirements, Wayne is a go-to resource for that process.

Securities Industry and Financial Markets Association, Member; New State Bar Association

Hofstra School of Law, JD; Tufts University, BS