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

Morgan, Lewis & Bockius LLP has strength in the full range of regulatory matters pertaining to the banking and broker-dealer industries, with a recognized group of securities law experts advising blue-chip clients on the most cutting-edge matters. Particular strength in regulatory compliance matters, but also noted for its handling of high-stakes enforcement actions by the SEC, FINRA and other agencies. Benefits from a highly experienced bench, with many partners having previously served with the DOJ or the major regulatory agencies. Increasing strength in connection with cross-border regulatory matters, with the US team working closely alongside colleagues in London, Frankfurt and Tokyo.

Cleary Gottlieb Steen & Hamilton has established a national financial services practice representing a variety of financial institutions and large industry groups. The firm has a particularly strong presence in the banking sector, with expertise on anti-money laundering laws and advising international banks on compliance with US regulations. Additionally, the team advises international clients and FinTech companies regarding broker dealer matters, particularly those involving investigations by FINRA. Rounding out the firm's practice, the team demonstrates strong capabilities in a wide array of M&A matters.

Eversheds Sutherland (US) LLP is a well-regarded firm which houses a rounded team of attorneys, equipped to advise on diverse securities law matters. Regulatory expertise in the broker-dealer space is strengthened by vast experience defending enforcement actions brought by a range of authorities including the SEC and FINRA. Noted for its skillful representation of a varied client base, which includes banks, brokerages and investment funds.

Latham & Watkins LLP is a compact team with particular strength in the banking and broker-dealer spaces, advising on a range of high profile regulatory matters, including those pertaining to financial technology such as data capture technologies. Fully equipped to advise on current and emerging requirements implemented by the SEC, CFTC, FINRA and NYSE, among others. An expanding team includes a number of alumni of the major regulatory bodies, enabling it to provide clients with crucial strategic insight. Clients include most of the world's major global banks, as well as international broker-dealers, private fund complexes and FinTech companies.

Cahill Gordon & Reindel LLP is a respected team, particularly highlighted for its strong record in the broker-dealer space. The team regularly advises significant clients on investigations and regulatory enforcement matters.

Davis Wright Tremaine LLP is recognized for its strength advising domestic and international clients on broker-dealer and consumer finance matters. The firms broker-dealer practice sees it often representing clients in front of the SEC and FINRA. The team's consumer finance expertise sees it advising clients on both compliance and litigation matters. The firm has particular expertise advising on complex class actions.

Katten has a recognized financial services advisory team which is highlighted for its expertise in consumer finance litigation. The firm regularly defends clients in an array of state and federal class action cases, with specific strength on matters related to fees. The team is noted for its representation of an array of banks and credit unions. The firm has additional capacity advising on broker-dealer regulations.

King & Spalding has developed a strong broker-dealer practice representing clients such as crypto platforms, private equity firms and banks. The firm has expertise advising on investigations by the SEC, FINRA and other regulators. Clients benefit from the experience members of the team have from their time in the major regulatory agencies.

Schulte Roth & Zabel LLP has a well-regarded team of practitioners with strengths in compliance, enforcement and litigation. The firm is regularly sought out to advise on compliance with SEC, SRO and Federal Reserve Board rules, along with criminal proceedings and investigations. It has a niche expertise in insider trading matters and is noted for its work in emerging industries such as blockchain and cryptocurrency. The firm has particularly impressive cross-border capabilities.