Broker-Dealer Advisory & Counseling

Eric A. Bensky attorney profile image

Washington, DC

C: (202) 819-4883
T: (202) 220-1937
Larry E. Bergmann attorney profile image

Washington, DC

C: (202) 480-7222
T: (202) 661-7032
F: (202) 661-7059
Meghan J. Carey attorney profile image

Washington, DC

T: (202) 661-7016
F: (202) 661-7059
William E. Donnelly attorney profile image

Washington, DC

C: (202) 680-4908
T: (202) 661-7011
F: (202) 661-7059
Christina M. Hill attorney profile image

Washington, DC

C: (202) 480-5278
T: (202) 661-7017
F: (202) 661-7059
Robert P. Howard, Jr. attorney profile image

Washington, DC

C: (202) 480-7326
T: (202) 661-7015
F: (202) 661-7059
Joseph C. Lombard attorney profile image

Washington, DC

C: (312) 543-7750
T: (202) 661-7028
F: (202) 661-7059
Thomas J. McGonigle attorney profile image

Washington, DC

C: (202) 680-4941
T: (202) 661-7010
F: (202) 661-7059

New York, NY

T: (212) 880-3624
Paul A. Merolla attorney profile image

New York, NY

C: (646) 522-3529
T: (212) 880-3960
F: (212) 922-2870
Brian M. Walsh attorney profile image

Washington, DC

C: (202) 480-5921
T: (202) 661-7030
F: (202) 661-7059
Hong Le Webb attorney profile image

Washington, DC

C: (202) 816-9788
T: (202) 661-7014
F: (202) 661-7059
For more information visit Our Team page.

Looking Forward

In 2019, securities regulators will likely focus on issues surrounding digital assets and blockchain-related offerings, cybersecurity, efforts to adopt a version of proposed Regulation Best Interest, the suitability and trading of volatility-linked products and other complex securities, due diligence with respect to private placements, market structure, new trading platforms, conflicts of interest related to order routing and best execution, and broker-dealers’ procedures and controls to promote compliance with the Customer Protection Rule. The SEC and FINRA also appear poised to continue their increasing focus on brokerdealers’ suspicious activity monitoring and reporting practices under the Bank Secrecy Act and related anti-money laundering regulations.