Broker-Dealer Advisory & Counseling

New York, NY

Phone: (212) 880-3622
Cell: (347) 640-1914

Washington, DC

Phone: (202) 220-1937
Cell: (202) 819-4883

Washington, DC

Phone: (202) 661-7032
Fax: (202) 661-7059
Cell: (202) 480-7222

Washington, DC

Phone: (202) 661-7034
Fax: (202) 661-7059

Washington, DC

Phone: (202) 661-7011
Fax: (202) 661-7059
Cell: (202) 680-4908

Washington, DC

Phone: (202) 661-7017
Fax: (202) 661-7059
Cell: (202) 480-5278

Washington, DC

Phone: (202) 661-7015
Fax: (202) 661-7059
Cell: (202) 480-7326

Washington, DC

Phone: (202) 661-7012
Fax: (202) 661-7059

Washington, DC

Phone: (202) 661-7028
Fax: (202) 661-7059
Cell: (312) 543-7750

Washington, DC

Phone: (202) 661-7010
Fax: (202) 661-7059
Cell: (202) 680-4941

New York, NY

Phone: (212) 880-3624

New York, NY

Phone: (212) 880-3960
Fax: (212) 922-2870
Cell: (646) 522-3529

Washington, DC

Phone: (202) 661-7030
Fax: (202) 661-7059
Cell: (202) 480-5921

Washington, DC

Phone: (202) 661-7014
Fax: (202) 661-7059
Cell: (202) 816-9788
For more information visit Our Team page.

Looking Forward

Major priorities of the securities regulators in 2018 will be firm culture, cybersecurity, market structure, conflicts of interest related to order routing and best execution, and promoting capital growth. The SEC has announced it plans to adopt a broker-dealer fiduciary rule this year. The SEC also recently established the Retail Strategy Task Force, which will use proactive, targeted initiatives to identify misconduct impacting retail investors (particularly senior investors). The SEC and FINRA will accelerate their efforts to use and rely on Big Data analytics to surveil the markets and identify market abuse, whether it be insider trading and manipulative conduct or sales practices such as the sale of unsuitable structured products or microcap pump-and-dump schemes. The regulators will continue their focus on required recordkeeping by broker-dealers (including WORM storage), supervision, and conflicts of interest and how firms remediate conflicts.