Financial Services Regulation: Broker Dealer (Enforcement) | USA

Brian Rubin routinely represents broker-dealers and other financial institutions in connection with challenging regulatory, enforcement and administrative actions. He is co-head of the firm's securities enforcement practice.

David Wishengrad is chair of the firm's broker-dealer regulatory & litigation practice. He 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, European Commission and FINRA investigations.

Elizabeth Mitchell is experienced in advising broker-dealers on investigations and enforcement proceedings brought by financial regulators, including FINRA and the SEC.

Susan Schroeder draws from a tremendous wealth of expertise to advise clients on regulatory compliance and enforcement, with clients benefiting from her experience as the former head of enforcement at FINRA. She is vice chair of the firm's securities and financial services department.

Elizabeth Hogan is the cochair of the firm's securities enforcement and regulatory counseling group and managing partner of the firm's Washington office. 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.

Emily Gordy has previous experience at the SEC and FINRA, making her particularly well placed to handle a wide range of enforcement matters affecting broker-dealer clients.

Lara Thyagarajan, with more than 15 years as leader in FINRA's enforcement department, is a trusted adviser for trading and sales practice investigations and enforcement actions.

Ronak Patel, based in Austin, represents his clients in regulatory investigation and enforcement actions. He is also noted for his compliance advisory to broker-dealers.

Susan Light is co-chair of the firm's broker-dealer regulation practice. She is recognized for her extensive practice representing broker-dealer clients in investigations and enforcement actions by FINRA.

Todd Beaton merits recognition for representing clients in regulatory and enforcement inquiries initiated by FINRA.

Clients rely on Wayne Aaron for representation during high-stakes enforcement proceedings and regulatory investigations. He routinely advises broker-dealers on the best response to actions initiated by the SEC and FINRA. He is also co-chair of the firm's broker-dealer regulation practice.