Noreen Anne Kelly Email & Phone Number

Noreen is a Deputy Managing Partner and the Head of Litigation for the firm. Noreen focuses her practice on regulatory compliance and enforcement matters, as well as commercial litigation, principally in the securities and financial services space.Noreen has represented a variety of clients – financial institutions, broker dealers, investment advisors, and other businesses – facing regulatory and criminal investigations by the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (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 allegations of securities fraud or other violations of securities rules and regulations, market misconduct, accounting fraud, bank fraud, and violations of the Foreign Corrupt Practices Act. She also regularly represents individuals (traders, bankers, and other executives) facing regulatory scrutiny or who are required to provide testimony. Noreen has particular expertise advising broker dealers with respect to a variety of compliance issues including the Consolidated Audit Trail (CAT), electronic bluesheets, trade reporting, LOPR, best execution, supervision and books & records issues.

Listed skills include Litigation, Commercial Litigation, Appeals, Civil Litigation, and 15 others.