Financial Services Regulation: Broker Dealer (Compliance) | USA

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. He is chair of the firm's broker-dealer compliance and regulation practice as well as cochair of the securities and financial regulation practice.

Barbara Stettner impresses with the strength of her market-leading broker-dealer advisory practice, which encompasses compliance with directives established under the Dodd-Frank Act.

Stephen Wink is global co-chair of the firm's fintech industry group. He impresses with his high-level work in broker-dealer regulatory matters, frequently advising brokerages, trading platforms and exchanges.

Steven Stone is head of the firm’s financial institutions practice, and 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.

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.

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.

Clifford Kirsch leads the investment services group in the firm. He 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.

John Ayanian co-leader of the firm's securities enforcement & regulatory counseling practice group. He 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.

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. He is co-head of the firm’s financial markets regulatory & enforcement practice and head of the broker-dealer regulatory & compliance practice.

Brant 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.

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.

David Freeman is recognized for his extensive proficiency as a bank regulatory lawyer.

Hilary Sunghee Seo is noted for her regulatory advisory work on M&A transactions for clients in the asset management and private wealth space.

Jennifer Morton is recognized for her experience counseling registered broker-dealers in a variety of governance and transactional matters.

Nicholas Losurdo of Kirkland & Ellis 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.

Russell Sacks is well regarded for his success at providing strategic advice to clients, including with respect to complex SEC and FINRA regulations.

Tim Foley of Linklaters is recognized for his focus on broker‑dealer regulatory matters and enforcement advisory.

Naim Culhaci is routinely called upon to provide advice on broker-dealer regulatory issues to clients including investment banks and private equity firms.