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For a third straight year, K&L Gates is proud to be named the Law Firm of the Year for Securities Regulation in the 2016 U.S. News-Best Lawyers® survey. View our full rankings.

K&L Gates’ Broker-Dealer group is a key component of the firm’s core Financial Services practice. The attorneys in this practice advise a broad range of broker-dealers including broker-dealer affiliates of banks, hedge funds, insurance companies, investment advisers, and international, national, and regional firms. The lawyers in the Broker-Dealer practice include former senior U.S. Securities and Exchange Commission (SEC) and National Association of Securities Dealers (NASD) – now Financial Industry Regulatory Association (FINRA) – officials, two former state securities commissioners, and practitioners who have worked in-house at well-known securities firms. Collectively, our lawyers have appeared before every state securities commission in the United States.

Many of the lawyers in the Broker-Dealer group also practice in other areas such as investment management, securities enforcement, hedge funds, internal investigations, and litigation. Although we regularly provide advice to clients who are engaged solely in broker-dealer activities, we also provide comprehensive legal services to diversified financial services companies that offer investment management and brokerage as part of their business.

Areas of Practice

NameTitleOfficeContact
Partner
P +1.202.778.9068
Partner
P +1.202.778.9886
Partner
P +1.202.778.9018
Partner
P +61.3.9640.4338
Chairman of the Management Committee
and Practice Area Leader — Financial Services
P +1.617.261.3133
Counsel
P +1.617.261.3144
Partner
P +44.(0)20.7360.8202
Partner
P +1.202.778.9417
Partner
P +1.617.261.3163
Partner
P +1.617.261.3210
Partner
P +1.617.261.3296
Partner
P +1.617.261.3166
Partner
P +1.202.778.9420
Partner
P +1.202.778.9248
Associate
P +1.202.778.9403
Partner
P +1.617.261.3120
Partner
P +1.412.355.6245
Partner
P +1.617.261.3246
Partner
P +1.202.778.9324
Partner
P +1.310.552.5046
Associate
P +1.202.778.9099
Partner
P +1.212.536.4024
Partner
P +852.2230.3528
Partner
P +1.412.355.8365
Partner
P +1.206.370.7801
Practice Area Leader – Financial Services
P +1.202.778.9059