Ranking tables
Financial Services Regulation: Broker Dealer (Enforcement) | USA
USA - Nationwide
Rankings overview for Lawyers
Ben Indek Morgan, Lewis & Bockius LLP18 Years Ranked
Brian L Rubin Eversheds Sutherland (US) LLP9 Years Ranked
Cheryl L Haas McGuireWoods LLP4 Years Ranked
Elizabeth Hogan McGuireWoods LLP3 Years Ranked
Emily Gordy King & Spalding LLP3 Years Ranked
Susan Light Katten1 Years Ranked
Susan Schroeder WilmerHale2 Years Ranked
Wayne Aaron Katten14 Years Ranked
All Lawyers profiles
Band 1
1 David Wishengrad
Cahill Gordon & Reindel LLP | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 1 | 4 Years RankedDavid Wishengrad 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.
1 Elizabeth Mitchell
WilmerHale | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 1 | 8 Years RankedElizabeth Mitchell is experienced in advising broker-dealers on investigations and enforcement proceedings brought by financial regulators, including FINRA and the SEC.
1 W Hardy Callcott
Sidley Austin LLP | Financial Services Regulation: Broker Dealer (Enforcement)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 Ben Indek
Morgan, Lewis & Bockius LLP | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 2 | 18 Years RankedBen 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
Eversheds Sutherland (US) LLP | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 2 | 9 Years RankedBrian Rubin routinely represents broker-dealers and other financial institutions in connection with challenging regulatory, enforcement and administrative actions.2 Cheryl L Haas
McGuireWoods LLP | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 2 | 4 Years RankedCheryl Haas has a well-regarded practice advising broker-dealer clients in SEC and FINRA investigations.2 Elizabeth HoganMcGuireWoods LLP | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 2 | 3 Years RankedElizabeth Hogan is the cochair of the firm's securities enforcement and 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.2 Emily Gordy
King & Spalding LLP | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 2 | 3 Years RankedEmily 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.
2 Susan Light
Katten | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 2 | 1 Years RankedSusan Light is recognized for her extensive practice representing broker-dealer clients in investigations and enforcement actions by FINRA.
2 Susan SchroederWilmerHale | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 2 | 2 Years RankedSusan 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.2 Wayne AaronKatten | Financial Services Regulation: Broker Dealer (Enforcement)2025 | Band 2 | 14 Years RankedClients 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.