Practice Profile: When Sara was promoted to director at FINRA’s Department of Enforcement and became responsible for supervising a team of five enforcement lawyers and two investigators, she was the youngest lawyer to reach that distinction in FINRA’s history.
Since joining A&O Shearman, she has continued to hit targets well ahead of her peers, including recently representing Bank of Montreal (BMO) in connection with the off-channel communications investigations by the SEC and CFTC. Sara advised BMO in connection with all aspects of the investigations, including leading the investigative review, providing strategic advocacy and guiding the client through resolution. In August 2023, BMO entered resolutions with the SEC and CFTC to settle allegations for a civil monetary penalty of $25 million and $35 million, respectively, along with undertakings consistent with those imposed on other firms. Sara has since been hired by three other institutions in similar matters – putting her on all fours with some of the most prominent litigators and enforcement lawyers in the industry.
