Ranking tables

Financial Services Regulation: Broker Dealer (Enforcement) | 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.

All Lawyers profiles

1
Band 1
  1. W Hardy Callcott
    1
    W Hardy Callcott
    Sidley Austin LLP
    Sidley Austin LLP | Financial Services Regulation: Broker Dealer (Enforcement)
    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.
2
Band 2
  1. Ben Indek
    2
    Ben Indek
    Morgan, Lewis & Bockius LLP
    Morgan, Lewis & Bockius LLP | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 16 Years Ranked
    Ben Indek is an expert in broker-dealer regulatory matters and is highly experienced at guiding clients through high-stakes investigations, examinations and enforcement proceedings.
  2. Brian L Rubin
    2
    Brian L Rubin
    Eversheds Sutherland (US) LLP
    Eversheds Sutherland (US) LLP | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 7 Years Ranked
    Brian Rubin routinely represents broker-dealers and other financial institutions in connection with challenging regulatory, enforcement and administrative actions.
  3. Cheryl L Haas
    2
    Cheryl L Haas
    McGuireWoods LLP
    McGuireWoods LLP | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 2 Years Ranked
    Cheryl Haas of McGuireWoods has a well-regarded practice advising broker-dealer clients in SEC and FINRA investigations.
  4. David Wishengrad
    2
    David Wishengrad
    Cahill Gordon & Reindel LLP
    Cahill Gordon & Reindel LLP | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 2 Years Ranked
    David Wishengrad of Cahill Gordon & Reindel focuses his practice on broker-dealer regulatory matters. He is often sought out by banks to advise on compliance matters, including issues with cross-border elements. He is also experienced in providing counsel on SEC investigations.
  5. Elizabeth Hogan
    2
    Elizabeth Hogan
    McGuireWoods LLP
    McGuireWoods LLP | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 1 Years Ranked
    Elizabeth Hogan is the cochair of the firm's Securities Enforcement & Regulatory Counseling group. As the former senior vice president and leader of Market Regulation Enforcement at the Financial Industry Regulatory Authority, she is well placed to advise broker-dealers on enforcement matters.
  6. Elizabeth Mitchell
    2
    Elizabeth Mitchell
    WilmerHale
    WilmerHale | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 6 Years Ranked
    Elizabeth Mitchell is experienced in advising broker-dealers on investigations and enforcement proceedings brought by financial regulators, including FINRA and the SEC.
  7. Elizabeth P Gray
    2
    Elizabeth P Gray
    Willkie Farr & Gallagher LLP
    Willkie Farr & Gallagher LLP | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 14 Years Ranked
    Elizabeth Gray concentrates her practice on the representation of securities market participants in high-stakes enforcement matters, including SEC and CFTC investigations.
  8. Emily Gordy
    2
    Emily Gordy
    McGuireWoods LLP
    McGuireWoods LLP | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 1 Years Ranked
    Emily Gordy's previous experience at the SEC and FINRA makes her particularly well placed to handle a wide range of enforcement matters affecting broker-dealer clients.
  9. James Coster
    2
    James Coster
    Duane Morris LLP
    Duane Morris LLP | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 2 Years Ranked
    The New York-based James Coster is the chair of the securities litigation division of Duane Morris' trial practice group. He has impressive experience defending clients in trust and mortgage-related litigation matters.
  10. Wayne Aaron
    2
    Wayne Aaron
    Vedder Price
    Vedder Price | Financial Services Regulation: Broker Dealer (Enforcement)
    2023 | Band 2 | 12 Years Ranked
    "Wayne Aaron really knows the regulatory process and has very good relationships with regulators. He's sensitive to their sensitivities and does it in a way that makes him an effective advocate for his clients. He's an excellent and persuasive writer too."