Mr Julian Rainero > Schulte Roth & Zabel LLP > New York, United States > Lawyer Profile

Schulte Roth & Zabel LLP
919 THIRD AVENUE
NEW YORK, NY 10022
United States
Julian Rainero photo

Work Department

Broker-Dealer Regulatory & Enforcement, Hedge Funds, Investment Management, Regulatory & Compliance

Position

Julian Rainero is co-chair of the Broker-Dealer Regulatory & Enforcement Group. He advises broker-dealers and alternative trading systems on compliance with SEC, self-regulatory organization (SRO) and Federal Reserve Board rules. His practice involves all aspects of broker-dealer regulation, with a focus on cash equities trading practices, alternative trading systems, net capital, customer asset segregation, prime brokerage, correspondent clearing, and margin and securities lending. Julian represents many of the leading electronic market makers and alternative trading systems and serves on the best-execution committees of several major broker-dealers.

In addition to regularly advising broker-dealers on regulatory compliance and best practices, Julian represents clients in responses to examination findings and enforcement proceedings. He also provides legal counsel to financial institutions in connection with acquisitions of or investments in broker-dealers, credit facilities collateralized by securities and transactions subject to Regulation M.

Memberships

SIFMA

Education

American University, Washington College of Law, JD; Dickinson College, BA

Lawyer Rankings

United States > Finance > Financial services regulation

(Leading lawyers)

Julian RaineroSchulte Roth & Zabel LLP

Based in New York, Schulte Roth & Zabel LLP is rated for its expertise in broker-dealer enforcement and regulatory work, its involvement in M&A and private equity investments in the financial services sector, and its experience advising growth companies and major tech companies on fintech products and investments. Donald Mosher focuses on the regulation, acquisition and sale of payment companies and the licensing and registration of money services businesses, including B2B providers and cryptocurrency exchanges. ‘Consistently superb‘ partner Joseph Vitale routinely advises private equity funds and hedge funds on investments in the banking sector, and former SEC enforcement attorney Craig Warkol advises on securities trading and represents clients in enforcement and investigation proceedings brought by the SEC, DOJ, FINRA and other regulators. Julian Rainero is the firm’s go-to broker dealer expert, serving as regular counsel to clients in connection with compliance matters before the SEC and the Fed. Vitale is currently one of several partners advising major banks, including Credit Suisse and UBS Group, on compliance with the Bank Holding Company Act and the Volcker Rule.