Broker-Dealer Regulatory & Enforcement | McDermott

Broker-Dealer Regulatory & Enforcement

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Overview

McDermott Will & Schulte’s Broker-Dealer Regulatory and Enforcement Group advises some of the securities market’s leading broker-dealers, helping them navigate SEC, FINRA, exchange and state securities law compliance requirements and enforcement actions. Few firms can offer a practice with the size and depth of experience as our Broker-Dealer Regulatory and Enforcement Group.

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Insights
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Key contacts

William J. Barbera

Partner

New York – 919 Third Avenue

Additional capabilities

Financial Services

Bank Regulatory