Financial Services & Regulatory Practice

The Financial Services and Regulatory Practice Group’s highly qualified attorneys have decades of experience advising on sophisticated transactions and guiding a diverse clientele through a technical and changing regulatory landscape.

Our Approach
Transactions
Compliance
Enforcement
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Our Approach

The Financial Services and Regulatory Practice Group’s highly qualified attorneys have decades of experience advising on sophisticated transactions and guiding a diverse clientele through a technical and changing regulatory landscape.  Our pragmatic business judgment, strategic planning, and proven expertise in resolving complex problems have won outstanding results for our clients in state and federal civil litigations and in matters before all levels of the SEC, CFTC, FINRA and state and local administrative agencies.

We address each client’s unique business needs with a team approach that capitalizes on the knowledge and insights of our Firm’s seasoned practitioners in compliance, supervision, litigation, banking, cybersecurity and privacy, corporate governance and transactions, insurance, employment, tax and bankruptcy law.  Our unique perspectives on regulatory problem-solving are shaped by a deep and diverse experience—our attorneys have previously served with the SEC, the New York or New Jersey Attorneys General Office, as internal counsel at some of the largest banks, broker-dealers and RIAs, or with private law firms that routinely advise multinational financial institutions.

Our ability to expertly handle transactions, compliance functions, and litigation matters allows us to develop extensive relationships with our clients, and these relationships enhance our ability to deliver tailored legal solutions that drive profitability and growth.