Financial Industry Regulatory Authority (FINRA)

King & Spalding’s FINRA Compliance and Enforcement practice group provides comprehensive advice to financial institutions, broker-dealers, and associated individuals concerning both novel and complex regulatory and compliance issues. The team includes a former FINRA Senior Vice President and Deputy Enforcement Chief along with three former FINRA Senior Counsels, and a former Principal Counsel from FINRA’s High Risk Broker Unit. Our firsthand FINRA expertise makes us uniquely qualified to counsel clients in connection with FINRA examinations, investigations, enforcement actions, and arbitration claims. Further, we advise clients seeking to reduce the risk of future regulatory actions on compliance with FINRA rules and federal securities laws. With over 20 years of collective experience conducting and supervising hundreds of FINRA enforcement matters, the team provides extensive expertise in FinTech and cryptocurrency regulation, anti-money laundering (AML), cybersecurity, customer information protection and data privacy, sales practice supervision, market manipulation and trading violations, advertising regulations, and capital formation.