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Execution Enforcement Actions Escalate

Schulte Roth’s broker-dealer regulatory & enforcement lawyers

Leading law firm Schulte Roth & Zabel recently announced a major expansion with the addition of a group of broker-dealer attorneys. Resident in the firm’s New York office, Julian Rainero and Craig S. Warkol joined as partners and co-chairs of Schulte’s Broker-Dealer Regulatory & Enforcement Group, and Douglas I. Koff joined as partner. Also joining were special counsel David S. Sieradzki in Washington, D.C., as well as Kelly Koscuiszka and Evan F. Barnes in New York. Their counsel is highly sought-after, especially as broker-dealers face heightened government scrutiny. The Hedge Fund Journal spoke to the partners about the growing demand for advice on broker-dealer matters including complex market structure and execution issues.

Rainero stated he “always wanted to be part of a preeminent investment management practice and Schulte is the best in the world.” He was particularly attracted to Schulte due to its expertise in OTC derivatives, which he says “touch a lot of related areas.” The broker-dealer partners work closely with clients to ensure compliance with the requirements of the SEC, the Federal Reserve Board, FINRA and other securities industry SROs. The lawyers discussed several market microstructure issues with THFJ.

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About The Hedge Fund Journal

INFORMING THE HEDGE FUND COMMUNITY With access to some of the industry’s biggest names and an astute and talented group of writers and contributors, The Hedge Fund Journal has established itself as a trusted source of information on the hedge fund industry.