Susan Light Email & Phone Number

Efficient Solutions from a Regulator's PerspectiveI represent large and small broker-dealers, as well as hedge funds, investment banks and other financial services providers. I help these clients understand the regulatory landscape, design procedures to avoid regulatory problems and resolve investigations and enforcement actions. My experience at the highest levels of the NYSE and FINRA is the difference that allows me to deliver quick, efficient answers and top-quality representation. And in matters that involve regulators, my extensive network of contacts allows me to successfully engage with them on my clients' behalf.At FINRA, I served as senior vice president and chief counsel of enforcement, where I oversaw all aspects of investigations and disciplinary hearings involving a wide variety of FINRA rules and federal securities laws. I occupied a similar role at NYSE Regulation, Inc. before its merger and integration with FINRA, a process that I helped to lead. My positions also involved working in conjunction with state, federal, foreign and other regulatory agencies in joint initiatives and investigations.Outside of my work on investigations, I help broker-dealers and other clients with their full range of regulatory issues. I frequently advise on anti-money-laundering, fraud, market manipulation, supervision, unauthorized trading, insider trading, net capital and margin regulations. Clients also seek my advice on business matters from compliance concerns with trading strategies to the development of social media policies. Other issues that I see repeatedly include questions around rogue employees, cybersecurity, cryptocurrencies and whistleblower investigations.I am a frequent speaker on regulatory and compliance topics for broker-dealer and securities conferences. I also advise several professional journals on securities industry topics.[Attorney Advertising: Prior results do not guarantee a similar outcome.]