Noreen A. Kelly

Noreen serves as McGuireWoods’ Deputy Managing Partner and Head of Litigation. She represents a wide variety of clients facing regulatory and criminal investigations and supervisory examinations by the DOJ, the SEC, FINRA, securities exchanges, as well as state securities regulators and attorneys general. She has conducted internaland/or responded to investigations on behalf of financial institutions, audit committees and other entities involving, among other things, alleged violations of securities and banking rules and regulations, market misconduct, accounting fraud, broker dealer and investment advisor compliance violations, violations of the FCPA, and general fraud and embezzlement. Noreen also regularly counsels broker dealers and investment advisors on compliance, supervisory and examination matters, particularly in the areas of books & records, best execution/order handling, and transaction and non-financial regulatory reporting (e.g., Consolidated Audit Trail (CAT), Large Option Position Reporting (LOPR), ACT and TRF reporting, and Electronic Bluesheets (EBS)).