Ranking tables
Financial Services Regulation: Broker Dealer (Compliance) | USA
USA - Nationwide
Rankings overview for Lawyers
Senior Statespeople
Band 1
Band 2
Amy Kroll Morgan, Lewis & Bockius LLP9 Years Ranked
Bruce H Newman WilmerHale17 Years Ranked
Colin Lloyd Sullivan & Cromwell LLP12 Years Ranked
James Burns Cleary Gottlieb Steen & Hamilton LLP5 Years Ranked
Jeffrey L Robins Debevoise & Plimpton LLP12 Years Ranked
Kevin Campion Sidley Austin LLP15 Years Ranked
Laura S Pruitt Jones Day16 Years Ranked
Steffen Hemmerich Mayer Brown LLP3 Years Ranked
Stephanie Nicolas WilmerHale13 Years Ranked
Zachary Zweihorn Davis Polk & Wardwell LLP7 Years Ranked
Band 3
Brandon M Hammer Cleary Gottlieb Steen & Hamilton LLP5 Years Ranked
Brant Brown Cleary Gottlieb Steen & Hamilton LLP1 Years Ranked
Brynn Rail Ropes & Gray LLP4 Years Ranked
Clifford E. Kirsch Eversheds Sutherland (US) LLP4 Years Ranked
David F Freeman Jr Arnold & Porter18 Years Ranked
Holly Smith Eversheds Sutherland (US) LLP14 Years Ranked
Jennifer Morton A&O Shearman2 Years Ranked
John V Ayanian McGuireWoods LLP17 Years Ranked
Julian Rainero Schulte Roth & Zabel LLP18 Years Ranked
Matthew Comstock Willkie Farr & Gallagher LLP6 Years Ranked- Nicholas Losurdo Kirkland & Ellis LLP2 Years Ranked
Nihal Patel Fried, Frank, Harris, Shriver & Jacobson LLP8 Years Ranked
Russell D Sacks King & Spalding LLP15 Years Ranked
Up and Coming
All Lawyers profiles
Senior Statespeople
S Annette Nazareth
Davis Polk & Wardwell LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Senior Statespeople | 16 Years RankedFormer 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.
S Yoon-Young Lee
WilmerHale | Financial Services Regulation: Broker Dealer (Compliance)2025 | Senior Statespeople | 18 Years RankedYoon-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.
Band 1
1 Andre OwensWilmerHale | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 1 | 16 Years RankedAndre 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.
1 Barbara Stettner
Sidley Austin LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 1 | 17 Years RankedBarbara Stettner impresses with the strength of her market-leading broker-dealer advisory practice, which encompasses compliance with directives established under the Dodd-Frank Act.
1 Stephen Wink
Latham & Watkins LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 1 | 14 Years RankedStephen Wink impresses with his high-level work in broker-dealer regulatory matters, frequently advising brokerages, trading platforms and exchanges.
1 Steven Lofchie
Norton Rose Fulbright | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 1 | 19 Years RankedMarket-leading lawyer Steven Lofchie of Norton Rose Fulbright 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.
1 Steven W Stone
Morgan, Lewis & Bockius LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 1 | 21 Years RankedSteven 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.
1 W Hardy CallcottSidley Austin LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 1 | 18 Years RankedHardy 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.
Band 2
2 Amy KrollMorgan, Lewis & Bockius LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 9 Years RankedAmy 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.2 Bruce H NewmanWilmerHale | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 17 Years RankedBruce 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.2 Colin Lloyd
Sullivan & Cromwell LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 12 Years RankedColin Lloyd combines knowledge of the regulatory issues facing both banks and broker-dealers, with standout expertise in derivatives compliance.2 James Burns
Cleary Gottlieb Steen & Hamilton LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 5 Years RankedJames Burns is noted for his high level experience at the SEC and his ability to advise major clearing houses on regulatory questions.2 Jeffrey L Robins
Debevoise & Plimpton LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 12 Years RankedJeffrey 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.2 Kevin CampionSidley Austin LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 15 Years RankedKevin 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.2 Laura S Pruitt
Jones Day | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 16 Years RankedLaura 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.2 Steffen Hemmerich
Mayer Brown LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 3 Years RankedSteffen Hemmerich is a notable expert in the broker-dealer space. He is frequently called upon to advise clients on regulatory expectations, obligations and registrations.
2 Stephanie NicolasWilmerHale | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 13 Years RankedStephanie 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.2 Zachary ZweihornDavis Polk & Wardwell LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 2 | 7 Years RankedZachary 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.
Band 3
3 Brandon M HammerCleary Gottlieb Steen & Hamilton LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 5 Years RankedBrandon Hammer capably acts for financial markets clients in a range of contexts, including cross-border advice and SEC regulations.3 Brant BrownCleary Gottlieb Steen & Hamilton LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 1 Years RankedBrant Brown utilizes his previous experience at FINRA to offer large national and international clients insightful advice on FINRA examinations and investigations, with additional expertise on SEC compliance.
3 Brynn Rail
Ropes & Gray LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 4 Years RankedBrynn Rail of Ropes & Gray LLP 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.3 Clifford E. Kirsch
Eversheds Sutherland (US) LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 4 Years RankedClifford 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.3 David F Freeman Jr
Arnold & Porter | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 18 Years RankedDavid Freeman is recognized for his extensive proficiency as a bank regulatory lawyer.
3 Holly SmithEversheds Sutherland (US) LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 14 Years RankedNoted attorney Holly Smith is an expert on broker-dealer compliance issues. She offers additional skills in cybersecurity and privacy matters.3 Jennifer Morton
A&O Shearman | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 2 Years RankedJennifer Morton is recognized for her experience counseling registered broker-dealers in a variety of governance and transactional matters.
3 John V Ayanian
McGuireWoods LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 17 Years RankedJohn Ayanian 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.3 Julian Rainero
Schulte Roth & Zabel LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 18 Years RankedClients 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.3 Matthew Comstock
Willkie Farr & Gallagher LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 6 Years RankedMatthew 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.3 Nicholas Losurdo
Kirkland & Ellis LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 2 Years RankedNicholas Losurdo is highly sought after by financial services clients for his counsel in regulatory exams by FINRA and the SEC. He is particularly experienced in the regulatory issues faced by broker-dealers.3 Nihal Patel
Fried, Frank, Harris, Shriver & Jacobson LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 8 Years RankedNihal Patel has extensive experience of handling a range of broker-dealer related compliance issues, including Dodd-Frank protocols.3 Russell D Sacks
King & Spalding LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Band 3 | 15 Years RankedRussell Sacks is well regarded for his success at providing strategic advice to clients, including with respect to complex SEC and FINRA regulations.
Up and Coming
U Naim CulhaciLatham & Watkins LLP | Financial Services Regulation: Broker Dealer (Compliance)2025 | Up and Coming | 1 Years RankedNaim Culhaci is routinely called upon to provide advice on broker dealer regulatory issues to clients including investment banks and private equity firms.