Practice Profile: Ariel’s practice focuses on representing major broker-dealers, investment advisers, and their senior executives in examinations and enforcement matters conducted by the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and other self-regulatory organizations. Clients seek Ariel out for her particular experience in assisting broker-dealers in evaluating whether to self-report matters, positioning firms to receive credit for extraordinary cooperation, issues involving electronic trading and trade reporting obligations, and analyzing large data sets in the context of an enforcement investigation or settlement. Ariel also acts as counsel to several broker-dealer self-reporting committees and represents broker-dealers in FINRA arbitrations.
Leadership, Pro Bono and Civic Work: Ariel regularly speaks on SEC and FINRA trends and best practices, including at SIFMA Compliance & Legal Society seminars.
