Noreen Kelly > McGuireWoods LLP > New York, United States > Lawyer Profile

Noreen Kelly

212 548 7025 nkelly@mcguirewoods.com

Career

Noreen serves as the chair of McGuireWoods’ Government Investigations and White Collar Litigation Department, which Law360 selected for its prestigious “Practice Group of the Year” award for its notable work in 2019, and is a member of the firm’s Diversity & Inclusion Committee. Noreen focuses her practice on regulatory enforcement matters and commercial litigation in the securities and financial services spaces.

Noreen has represented a wide variety of clients – financial institutions, broker dealers, investment advisors, and other public and private entities and executives – facing regulatory and criminal investigations and supervisory examinations by the DOJ, the SEC, FINRA, various securities exchanges, as well as state attorneys general. She has conducted internal investigations on behalf of major financial institutions, audit committees and other entities involving, among other matters, alleged violations of securities and banking-related rules and regulations, accounting fraud, broker dealer compliance violations, violations of the Foreign Corrupt Practices Act (FCPA), and general fraud and embezzlement. Noreen also counsels broker dealers on compliance matters, particularly in the areas of books & records compliance and transaction and non-financial regulatory reporting (e.g., Consolidated Audit Trail (CAT), Large Option Position Reporting (LOPR), ACT and TRF reporting, and Electronic Bluesheets (EBS)).