United States • Finance
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Financial services regulation

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Willkie Farr & Gallagher LLP

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Willkie Farr & Gallagher LLP ’s financial regulatory and enforcement practice provides in-depth, comprehensive support for broker-dealers, investment managers, and other financial institutions, assisting clients with complex compliance and enforcement challenges. The practice is known for its deep understanding of investment management regulation and broker-dealer and derivatives regulation, enabling the firm to deliver practical solutions to regulatory issues across various sectors. The team is led by Kristina Littman, co-chair of the securities enforcement practice, who brings extensive regulatory expertise. She is supported by Brian Baltz, and Matthew Comstoc . James Anderson , chair of the asset management regulatory and enforcement practice, adds further strength to the practice.  All lawyers mentioned are in New York.
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Testimonials

Collated independently by Legal 500 research team.

  • ‘Willkie's Financial Services Regulation practice excels with a small but highly skilled team, each member demonstrating a deep understanding of complex issues and specific nuances of the case. Their ability to engage in detailed, insightful discussions and deliver precise, well rounded solutions reflects their expertise and strong sense of responsibility. This dedication and collaborative approach make their practice stand out.’

  • ‘The individuals at Willkie provide precise, direct, and straight-to-the-point advice, which is both efficient and highly strategic. They consistently go above and beyond to defend their client's interests, offering exceptional strategic insights that set them apart from competitors. Kristy Littman, in particular, stands out for her deep expertise and unwavering commitment to delivering top-tier advice and solutions.’

  • ‘The team has added Brian Baltz, which has really strengthened it.’

  • ‘Brian is excellent. A true thought leader and v practical too.’

Key clients

  • The Options Clearing Corporation
  • GSR
  • Cetera
  • Victory Capital Holdings, Inc.

Lawyers

Practice head

A. Kristina “Kristy” Littman; Brian Baltz; Matthew Comstoc; James Anderson