Jones Day advises broker-dealers, banks, and other financial institutions on a range of regulatory and enforcement matters. The firm’s practice, led by Brett Barragate and Jayant Tambe, both based in New York, focuses on compliance with U.S. federal and state securities laws, FINRA and other SRO regulations, and trading-related matters, including equity market structure issues and securities transactions across exchanges, alternative trading systems, and over-the-counter markets. The team includes former senior officials from the SEC, CFTC, DOJ, and the U.S. Attorney’s Office for the Southern District of New York, offering substantial enforcement expertise. The team is also active in the fintech sector, providing counsel on blockchain-based offerings, cryptocurrency regulations, and digital asset trading platforms.
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Accolades
Client satisfaction
Testimonials
Collated independently by Legal 500 research team.
‘Expertise in Digital Assets as a reference. Also, able to communicate clearly and simplify matters in order to work efficiently. Jones Day undoubtedly stood out as the best for Digital Assets. ’
‘Very welcoming to clients.'
‘Laura Pruitt is fantastic’
Key clients
- American Free Enterprise Chamber of Commerce
- Citadel Securities LLC
Work highlights
Representing Citadel Securities LLC in its pending challenge to the SEC’s September 6, 2023 order, 88 Fed. Reg. 62628 (2023), setting forth the funding model for the Consolidated Audit Trail (CAT). American Securities Association et al. v. SEC (11th Circuit).
Representing the American Free Enterprise Chamber of Commerce in support of petitioner Alpine Securities’ challenge to the constitutionality of the Financial Industry Regulatory Authority.
Lawyers
Practice head
Brett P. Barragate; Jayant W. Tambe