Top 10 Influential US Lawyers Shaping Broker Dealer Compliance Nationwide

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Financial Services Regulation and compliance is a field of law that requires the highest dedication, knowledge, and years of specialized experience. The lawyers highlighted in this article have excelled in this area, and especially so in Broker Dealer (Compliance). They have shown adeptness at maneuvering through complicated cross-border regulatory matters, profound proficiency in banking and investment advisory laws, and have often carved their respective statuses at the apex of this legal sphere through strategic interaction with the SEC, FINRA, and other regulatory bodies. Below are some of the most remarkable Broker Dealer (Compliance) lawyers in America, listed nationwide.

Jeffrey L Robins – Debevoise & Plimpton LLP

Jeffrey Robins is appreciated for the robustness of his broker-dealer compliance practice. He represents a diverse range of securities market clients and is especially proficient at advising on cross-border regulatory matters. His clients praise his efficient and timely delivery of services, and the value he places on offering wise counsel.

David F Freeman Jr – Arnold & Porter

David Freeman stands out in the firm’s financial services department and is acknowledged for his widespread expertise as a bank regulatory lawyer. His clients have lauded his responsiveness and thorough understanding of all regulatory topics. David’s knowledge of banking and investment advisory law is vast and deep, and he has been recognized for his stellar advice on their intersection.

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James Burns – Cleary Gottlieb Steen & Hamilton LLP

James Burns is recognized for his high-level experience at the SEC and his capacity to advise major clearinghouses on regulatory questions. His clients appreciate him as a strong advocate and value his insightful ability to combine his knowledge of the client, the regulator, and the overall market to provide timely advice.

John V Ayanian – McGuireWoods LLP

John Ayanian is a noted attorney, well regarded for his extensive capabilities on broker-dealer compliance matters. Routinely, he is called upon to provide counsel on issues relating to the SEC and FINRA rules, marking a steady track record of reliability and competence.

Laura S Pruitt – Jones Day

Laura Pruitt’s compliance practice is highly recommended for her extensive knowledge of the regulatory laws affecting broker-dealers. She is known for her consistent guidance on key directives set by the SEC and FINRA, and exhibits particular strength in representing alternative trading systems.

Amy Kroll – Morgan, Lewis & Bockius LLP

Amy Kroll focuses her practice on broker-dealer regulation and affiliated organizations. She consistently provides strategic advice to clients dealing with SEC and FINRA rules. Her clients often speak highly of her responsiveness and her depth of knowledge.

Brynn Rail – Ropes & Gray LLP

Brynn Rail has significantly handled complex regulatory and securities issues and regularly advises on SEC and FINRA rule compliance. She also offers an in-depth insight into transaction-related matters, making her a valuable resource in this field.

Matthew Comstock – Davis Wright Tremaine LLP

Matthew 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, establishing himself as a source of sound guidance.

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Christopher Salter – Allen & Overy LLP

Christopher Salter has impressive experience in resolving complex questions of financial responsibility faced by securities market participants. With prior experience at the SEC, his understanding of the regulatory climate is keen. His answers to questions are thoughtful and business-focused, exhibiting a thorough comprehension of the Investment Advisers Act and its practical application.

Holly Smith – Eversheds Sutherland (US) LLP

Holly Smith is an expert on broker-dealer compliance issues. She also offers additional skills in cybersecurity and privacy matters. Her commitment to diligent advocacy and hard work has made her an invaluable partner to her clients and a standout in her field.

In conclusion, these lawyers have shown excellence in their respect for Financial Services Regulation: Broker Dealer (Compliance), and the accolades they’ve received from clients and colleagues alike are well earned. Despite the complex, ever-evolving nature of this field, they’ve managed to carve their niche through their dedication, knowledge, and strategic interactions with regulatory bodies. Collectively, they form a formidable force that is shaping the future of financial services regulation in the United States.

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