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Xiomara Corral

Counsel
+1.617.261.3144
Fax +1.617.261.3175
Xiomara Corral is counsel in the investment management group of the Boston office. Ms. Corral has extensive experience advising broker-dealers regarding the applicability of federal and state securities laws and the rules of self-regulatory organizations to their business activities, inspections, examinations and enforcement-related inquiries by SROs and the SEC, negotiating distribution and revenue sharing agreements and designing and implementing supervisory systems and policies and procedures.

Professional Background

Prior to joining the firm, Ms. Corral was the sole legal counsel at two dually registered bank broker-dealers and investment advisers, where she advised the banks’ wealth management businesses and managed external counsel on all litigation and arbitration proceedings. Previously, she was associate counsel at a large independent broker-dealer, where she was responsible for regulatory compliance, responding to regulatory inquiries and examinations and negotiating distribution, servicing and strategic-partnering arrangements. Ms. Corral also spent four years as the sole resource for regulatory advice, training and support on new product initiatives, services and processes for the sales force and marketing staff in the institutional broker-dealer distributor of a mutual fund company. In addition, Ms. Corral was associated with law firms in Boston and New York, where she represented broker-dealers and investment advisers on a variety of matters. Ms. Corral began her career with the U.S. Securities and Exchange Commission in Washington, DC.

Professional/Civic Activities

  • FINRA Arbitrator