Neal E. Sullivan

NEAL SULLIVAN conducts a comprehensive securities enforcement regulatory practice and maintains a particular focus on broker-dealer and investment adviser matters. Neal represents clients before the SEC, FINRA, and other self-regulatory organizations and state securities agencies. Neal is a member of the firm’s Executive Committee and global co-leader of the Securities & Derivatives Enforcement & Regulatory group. Neal is one of the leading advisers to the securities industry on major compliance and regulatory matters. He has represented clients in the SEC’s major Wall Street investigations, including insider trading; sale of auction-rate securities; mutual fund market timing; and research analyst conflicts of interest. Neal is the former executive director of the North American Securities Administrators Association. He has been recognized in Chambers USA: America’s Leading Lawyers (2008 – 2018) and Best Lawyers in America (2009–2018).