North America - United States • Finance
Latham & Watkins LLP
The ‘very strong practice’ at Latham & Watkins LLP counts a range of global banks, funds and broker-dealers among its clients, whom it assists with major transactions and associated regulatory challenges, in addition to providing regulatory support as it relates to derivatives, broker-dealer registrations and restructuring measures. The team is also accustomed to handling proceedings before regulatory bodies, including FINRA, NFA and the SEC among others. Leading the group is the New York-based triumvirate of Stephen Wink, Yvette Valdez and Arthur Long, who joined the leadership team following the retirement of Alan Avery in January 2023. Marlon Paz, who splits time between New York and Washington DC, is noted for his work advising broker-dealers on all aspects of securities regulation and enforcement, with New York-based Jenny Cieplak focusing on regulatory issues arising out of the fintech sector. Also located in New York, Pia Naib advises banks and other financial services clients on crypto regulations in addition to issues tied to Dodd-Frank, the Volcker Rule and the Consumer Protection Act.
Legal 500 Editorial commentary
Testimonials
Collated independently by Legal 500 research team.
- 'Very strong practice. Good experience with Arthur Long, a very experienced and practical advisor.'
- 'Arthur Long is bright, experienced, creative and thoughtful - a great combination when working through regulatory challenges.'
Key clients
- National Bank of Canada
- Bread Financial Holdings, Inc.
- AllianceBernstein
- Coöperatieve Rabobank U.A.
- Acorns Grow Inc.
- Blockchain Association
- Citigroup
- DirectBooks
- Houlihan Lokey
- J.P. Morgan
- Lincoln International
- Octaura
- Primary Markets
- Raymond James Financial Inc.
- SecondRE
- Securities Industry and Financial Markets Association
- SIMON Markets
- StartEngine Capital
- Symphony Communications
- The Raine Group
- Winterflood Securities
- Zanbato
- NextDecade Corporation
- Diversified Energy Company
- Origis Energy
Work highlights
- Advised AllianceBernstein on the formation of a joint venture between its Sanford C Bernstein Broker-Dealer Business and Société Générale.
- Drafted comment letters to the SEC in relation to its proposed amendments to Rule 3b-16, which would expand the definition of "exchange" under the Exchange Act, on behalf of Directbooks, Blockchain Association and Symphony Communications.
- Advised National Bank of Canada in connection with its sponsorship of and investment in several Canadian and US private investment fund groups.
Lawyers
Rising stars
Practice head
The lawyer(s) leading their teams.
Stephen Wink, Arthur Long, Yvette Valdez