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Financial Services Regulation: Broker Dealer (Compliance) | USA

USA - Nationwide

This section covers the full range of regulatory matters specific to the broker dealer industry. Firms are ranked according to their ability to handle both compliance and enforcement matters; individual attorneys may be ranked either for their compliance work, or for their enforcement work, or both. Compliance covers areas such as Dodd Frank and Volcker compliance for broker dealers, including SEC compliance for traders and investment banks. It also covers matters under SROs such as FINRA. Enforcement covers investigations and enforcement actions brought by the full range of regulatory bodies overseeing the broker dealer industry, as well as internal investigations.

Rankings overview for Lawyers

All Lawyers profiles

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Senior Statespeople
  1. Annette Nazareth
    S
    Annette Nazareth
    Davis Polk & Wardwell LLP
    Davis Polk & Wardwell LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Senior Statespeople | 14 Years Ranked
    Former SEC director Annette Nazareth possesses great insight into the regulatory challenges faced by broker-dealers and their affiliated organizations. She is renowned for her ability to advise clients on SEC enforcement proceedings and ensure their compliance with a wide range of regulatory agencies.
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1
Band 1
  1. Andre Owens
    1
    Andre Owens
    WilmerHale
    WilmerHale | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 1 | 14 Years Ranked
    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.
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  2. 1
    Steven Lofchie
    Norton Rose Fulbright
    Norton Rose Fulbright | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 1 | 17 Years Ranked
    Market-leading lawyer Steven Lofchie of Fried, Frank, Harris, Shriver & Jacobson is a distinguished figure in the New York market. Clients regularly seek him out for assistance with diverse broker-dealer regulatory issues, including SEC registration, capital requirements and AML matters.
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  3. Steven W Stone
    1
    Steven W Stone
    Morgan, Lewis & Bockius LLP
    Morgan, Lewis & Bockius LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 1 | 19 Years Ranked
    Steven Stone is a respected figure in the broker-dealer space, noted for his expertise in securities and derivatives law. He regularly assists clients in obtaining regulatory relief from a range of authorities, including the SEC, SIFMA and FINRA.
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  4. W Hardy Callcott
    1
    W Hardy Callcott
    Sidley Austin LLP
    Sidley Austin LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 1 | 16 Years Ranked
    Hardy Callcott stands out for his market-leading counsel to leading US broker-dealers on the full range of compliance requirements. He is equally accomplished at steering clients through major enforcement actions initiated by state and federal regulators.
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  5. Yoon-Young Lee
    1
    Yoon-Young Lee
    WilmerHale
    WilmerHale | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 1 | 16 Years Ranked
    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.
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2
Band 2
  1. Amy Kroll
    2
    Amy Kroll
    Morgan, Lewis & Bockius LLP
    Morgan, Lewis & Bockius LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 7 Years Ranked
    Amy Kroll focuses her practice on the regulation of broker-dealers and affiliated organizations.She regularly provides strategic advice to clients whose conduct comes into conflict with SEC and FINRA rules.
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  2. Barbara Stettner
    2
    Barbara Stettner
    Allen & Overy LLP
    Allen & Overy LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 15 Years Ranked
    Barbara Stettner impresses with the strength of her broker-dealer advisory practice, which encompasses compliance with directives established under the Dodd-Frank Act.
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  3. Bruce H Newman
    2
    Bruce H Newman
    WilmerHale
    WilmerHale | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 15 Years Ranked
    "Bruce is an excellent attorney. His combined experience as an in-house lawyer, SEC enforcement attorney and outside counsel gives him a great perspective to advise in-house financial services counsel. He's a pleasure to work with, has great judgment and a great bedside manner with business clients. He works hard to find workable solutions to business problems."
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  4. Colin Lloyd
    2
    Colin Lloyd
    Sullivan & Cromwell LLP
    Sullivan & Cromwell LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 10 Years Ranked
    "Colin Lloyd has unparalleled technical knowledge, relationships and commercial acumen in derivatives matters. He's also accessible, responsive and easy to work with."
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  5. 2
    James Burns
    Cleary Gottlieb Steen & Hamilton LLP
    Cleary Gottlieb Steen & Hamilton LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 3 Years Ranked
    "Jim Burns is an outstanding lawyer. He brings great perspective from his SEC experience, and he combines that experience effectively with practical private sector knowledge."
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  6. Kevin Campion
    2
    Kevin Campion
    Sidley Austin LLP
    Sidley Austin LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 13 Years Ranked
    Kevin Campion maintains a prominent broker-dealer compliance practice, offering clients comprehensive guidance with respect to rules set by the SEC, SIFMA and FINRA. He is particularly well known for his expertise in short-selling issues.
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  7. Laura S Pruitt
    2
    Laura S Pruitt
    Jones Day
    Jones Day | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 14 Years Ranked
    Laura Pruitt's noted compliance practice sees her highly recommended for her extensive knowledge of the regulatory laws affecting broker-dealers. She regularly advises on key directives set by the SEC and FINRA and offers particular strength in the representation of alternative trading systems.
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  8. Stephanie Nicolas
    2
    Stephanie Nicolas
    WilmerHale
    WilmerHale | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 11 Years Ranked
    "Stephanie is an incredible lawyer and the top broker-dealer regulatory lawyer on the Street. She consistently delivers the absolute highest quality of advice and work product and has a calm demeanor. She's an absolute pleasure to work with."
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  9. Stephen Wink
    2
    Stephen Wink
    Latham & Watkins LLP
    Latham & Watkins LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 12 Years Ranked
    Stephen Wink impresses with his high-level work in broker-dealer regulatory matters, frequently advising brokerages, trading platforms and exchanges.
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  10. Susan Grafton
    2
    Susan Grafton
    Dechert LLP
    Dechert LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 2 | 14 Years Ranked
    Susan Grafton demonstrates strength advising global broker-dealers and investment banks on a comprehensive range of regulatory matters. Her compliance expertise encompasses, among other areas, SEC, FINRA and CFTC regulations.
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3
Band 3
  1. Brynn Rail
    3
    Brynn Rail
    Ropes & Gray LLP
    Ropes & Gray LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 2 Years Ranked
    Brynn Rail of Ropes & Gray has significant experience of handling complex regulatory and securities issues. She regularly advises on SEC and FINRA rule compliance and also boasts an in-depth insight into transaction-related matters.
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  2. Clifford E. Kirsch
    3
    Clifford E. Kirsch
    Eversheds Sutherland (US) LLP
    Eversheds Sutherland (US) LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 2 Years Ranked
    Clifford Kirsch utilizes his previous experience at the SEC to advise broker-dealer and investment adviser clients on a range of issues, such as the impact of the SEC's Regulation Best Interest. He also has notable experience of handling matters involving the FINRA.
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  3. David F Freeman Jr
    3
    David F Freeman Jr
    Arnold & Porter
    Arnold & Porter | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 16 Years Ranked
    "He's an excellent and trusted advisor to have; he's very thoughtful and sharp and goes above and beyond to help with initiatives. He provides excellent legal advice and guidance and also has deep understanding and insights on how things work in practice and the industry in general."
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  4. Holly Smith
    3
    Holly Smith
    Eversheds Sutherland (US) LLP
    Eversheds Sutherland (US) LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 12 Years Ranked
    Noted attorney Holly Smith is an expert on broker-dealer compliance issues. She offers additional skills in cybersecurity and privacy matters.
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  5. Jeffrey L Robins
    3
    Jeffrey L Robins
    Debevoise & Plimpton LLP
    Debevoise & Plimpton LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 10 Years Ranked
    Jeffrey Robins is distinguished by the strength of his broker-dealer compliance practice, which sees him acting for a wide range of securities market participants. He is particularly adept at advising on cross-border regulatory matters.
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  6. John V Ayanian
    3
    John V Ayanian
    McGuireWoods LLP
    McGuireWoods LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 15 Years Ranked
    John Ayanian of McGuireWoods is a noted attorney, well regarded for his broad-ranging capabilities on broker-dealer compliance matters. He is routinely called upon to provide counsel on issues relating to SEC and FINRA rules.
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  7. Julian Rainero
    3
    Julian Rainero
    Schulte Roth & Zabel LLP
    Schulte Roth & Zabel LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 16 Years Ranked
    Clients repeatedly turn to Julian Rainero for his dependable counsel on broker-dealer regulatory compliance matters. He is particularly respected for his expertise with alternative trading systems and often advises on rule-settings by the SEC.
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  8. Matthew Comstock
    3
    Matthew Comstock
    Willkie Farr & Gallagher LLP
    Willkie Farr & Gallagher LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 4 Years Ranked
    Matthew Comstock is highly regarded for his expertise in broker-dealer compliance matters. He routinely provides counsel to clients undergoing examination by the SEC and FINRA.
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  9. Russell D Sacks
    3
    Russell D Sacks
    King & Spalding LLP
    King & Spalding LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 13 Years Ranked
    Russell Sacks of King & Spalding is well regarded for his success at providing strategic advice to clients, including with respect to complex SEC and FINRA regulations.
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  10. Steffen Hemmerich
    3
    Steffen Hemmerich
    Mayer Brown LLP
    Mayer Brown LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 1 Years Ranked
    Steffen Hemmerich is a notable expert in the broker-dealer space. He is frequently called upon to advise clients on regulatory expectations, obligations and registrations.
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  11. Zachary Zweihorn
    3
    Zachary Zweihorn
    Davis Polk & Wardwell LLP
    Davis Polk & Wardwell LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Band 3 | 5 Years Ranked
    Zachary Zweihorn regularly advises broker-dealers on strategic transactions and the associated regulatory requirements. He is recognized for providing clients with a comprehensive overview of SEC and FINRA rules.
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U
Up and Coming
  1. Nihal Patel
    U
    Nihal Patel
    Fried, Frank, Harris, Shriver & Jacobson LLP
    Fried, Frank, Harris, Shriver & Jacobson LLP | Financial Services Regulation: Broker Dealer (Compliance)
    2023 | Up and Coming | 6 Years Ranked
    Nihal Patel of Fried, Frank, Harris, Shriver & Jacobson has extensive experience of handling a range of broker-dealer related compliance issues, including Dodd-Frank protocols. Clients often seek him out for advice on securities transactions and derivative margin requirements.
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