Todd Beaton

Todd’s practice focuses on regulatory enforcement defense. He represents financial institutions, broker-dealers, investment advisers, hedge funds, audit firms, public companies, and corporate officers in connection with regulatory and enforcement inquiries by the U.S. Securities and Exchange Commission (SEC), the U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations (SROs), the New York State Department of Financial Services, the Federal Reserve Bank of New York, and other federal and state regulators.

Prior to joining McGuireWoods, Todd was a Chief Counsel in FINRA’s Enforcement Department. Todd focused on matters emanating from FINRA’s Market Regulation team with whom he worked closely to resolve matters involving the Market Access Rule, Best Execution, Regulation SHO, market manipulation, and trade reporting rules, among others. Todd brought matters involving these and other rules on behalf of FINRA and other SROs, including the New York Stock Exchange, Cboe, and Nasdaq.

Prior to his tenure at FINRA, Todd was a partner with an international law firm where he focused on securities enforcement and regulatory defense matters. He served as a law clerk to the Hon. Richard K. Eaton of the U.S. Court of International Trade from 2005-2007.