{"id":90176,"date":"2025-08-18T08:07:28","date_gmt":"2025-08-18T13:07:28","guid":{"rendered":"https:\/\/www.mcguirewoods.com\/?post_type=practice&#038;p=90176"},"modified":"2025-10-14T09:13:57","modified_gmt":"2025-10-14T14:13:57","slug":"trading-markets-compliance-enforcement","status":"publish","type":"practice","link":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/trading-markets-compliance-enforcement\/","title":{"rendered":"Trading &amp; Markets Compliance and Enforcement"},"content":{"rendered":"<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id90176_329f8d-76{margin-top:-80px;}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, calc(64.3% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)))minmax(0, calc(35.7% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)));}.kb-row-layout-id90176_329f8d-76{--breakout-negative-margin-right:calc( ( ( ( var(--global-vw, 100vw) - ( var(--wp--style--global--content-size) - ( 0px*2 ) ) ) \/ 2 ) *-1) + -1px);--breakout-negative-margin-left:calc( ( ( ( var(--global-vw, 100vw) - ( var(--wp--style--global--content-size) - ( 0px*2 ) ) ) \/ 2 ) *-1) + -1px);}.kb-row-layout-id90176_329f8d-76{background-color:#003b5c;}.kb-row-layout-id90176_329f8d-76 > .kt-row-layout-overlay{opacity:0.30;}.kb-row-layout-id90176_329f8d-76{z-index:1;position:relative;}@media all and (min-width: 1025px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){margin-inline-end:calc( 0px *-1 );margin-inline-end:var(--breakout-negative-margin-right);}}@media all and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap{row-gap:var(--global-kb-gap-none, 0rem );grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(1 of *:not(style)){order:2;}}@media all and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){order:1;}}@media all and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(3 of *:not(style)){order:12;}}@media all and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(4 of *:not(style)){order:11;}}@media all and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(5 of *:not(style)){order:22;}}@media all and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(6 of *:not(style)){order:21;}}@media all and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(7 of *:not(style)){order:32;}}@media all and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(8 of *:not(style)){order:31;}}@media all and (min-width: 768px) and (max-width: 1024px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap:not(.kt-tab-layout-row) > .wp-block-kadence-column:nth-child(2 of *:not(style)){margin-inline-end:calc( 0px *-1 );}}@media all and (max-width: 767px){.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(1 of *:not(style)){order:2;}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){order:1;}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(3 of *:not(style)){order:12;}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(4 of *:not(style)){order:11;}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(5 of *:not(style)){order:22;}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(6 of *:not(style)){order:21;}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(7 of *:not(style)){order:32;}.kb-row-layout-id90176_329f8d-76 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(8 of *:not(style)){order:31;}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90176_329f8d-76 alignfull kt-row-has-bg gradient-bottom-border service-hero-section wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-2-columns kt-row-layout-equal kt-tab-layout-row kt-mobile-layout-row kt-row-valign-top kt-inner-column-height-full kb-theme-content-width\">\n<style>.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col{display:flex;}.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col{padding-top:8rem;padding-bottom:2.5rem;}.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col,.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col > .aligncenter{width:100%;}.kt-row-column-wrap > .kadence-column90176_3b8ab4-dd{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90176_3b8ab4-dd{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90176_3b8ab4-dd, .kadence-column90176_3b8ab4-dd h1, .kadence-column90176_3b8ab4-dd h2, .kadence-column90176_3b8ab4-dd h3, .kadence-column90176_3b8ab4-dd h4, .kadence-column90176_3b8ab4-dd h5, .kadence-column90176_3b8ab4-dd h6{color:#ffffff;}.kadence-column90176_3b8ab4-dd{position:relative;}.kadence-column90176_3b8ab4-dd, .kt-inside-inner-col > .kadence-column90176_3b8ab4-dd:not(.specificity){margin-top:80px;}@media all and (max-width: 1024px){.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col{padding-top:3.8rem;padding-right:2rem;padding-left:2rem;flex-direction:column;justify-content:flex-end;}}@media all and (max-width: 1024px){.kt-row-column-wrap > .kadence-column90176_3b8ab4-dd{align-self:flex-end;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90176_3b8ab4-dd{align-self:auto;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}@media all and (max-width: 767px){.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col{padding-top:2.5rem;padding-right:1.1rem;padding-left:1.1rem;flex-direction:column;justify-content:flex-end;}.kt-row-column-wrap > .kadence-column90176_3b8ab4-dd{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90176_3b8ab4-dd{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90176_3b8ab4-dd > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90176_3b8ab4-dd\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90176_f2b604-4e, .wp-block-kadence-advancedheading.kt-adv-heading90176_f2b604-4e[data-kb-block=\"kb-adv-heading90176_f2b604-4e\"]{margin-bottom:32px;font-size:3rem;line-height:1.2;font-weight:500;font-style:normal;font-family:Inter;}.wp-block-kadence-advancedheading.kt-adv-heading90176_f2b604-4e mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_f2b604-4e[data-kb-block=\"kb-adv-heading90176_f2b604-4e\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_f2b604-4e img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_f2b604-4e[data-kb-block=\"kb-adv-heading90176_f2b604-4e\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading90176_f2b604-4e, .wp-block-kadence-advancedheading.kt-adv-heading90176_f2b604-4e[data-kb-block=\"kb-adv-heading90176_f2b604-4e\"]{font-size:2.5rem;}}<\/style>\n<h1 class=\"kt-adv-heading90176_f2b604-4e wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_f2b604-4e\">Trading &amp; Markets Compliance and Enforcement<\/h1>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90176_d63a9e-e6, .wp-block-kadence-advancedheading.kt-adv-heading90176_d63a9e-e6[data-kb-block=\"kb-adv-heading90176_d63a9e-e6\"]{font-size:1.25rem;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading90176_d63a9e-e6 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_d63a9e-e6[data-kb-block=\"kb-adv-heading90176_d63a9e-e6\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_d63a9e-e6 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_d63a9e-e6[data-kb-block=\"kb-adv-heading90176_d63a9e-e6\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90176_d63a9e-e6 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_d63a9e-e6\">We represent financial institutions, from multinational, regional and community banks to broker-dealers and nontraditional lenders, fintech and cryptocurrency companies. The team comprises a robust roster of former government officials and senior members of other financial regulators who served as deputy head of enforcement at the Financial Industry Regulatory Authority, deputy chief counsel of the U.S. Securities and Exchange Commission\u2019s Division of Enforcement, examiner from the Office of the Comptroller of the Currency and other positions.<\/p>\n\n\n<style>.wp-block-kadence-advancedbtn.kt-btns90176_b105e5-69, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns90176_b105e5-69, .wp-block-kadence-advancedbtn.kb-btns90176_b105e5-69, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns90176_b105e5-69{margin-top:40px;}.wp-block-kadence-advancedbtn.kb-btns90176_b105e5-69{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:flex-start;align-items:center;}.kt-btns90176_b105e5-69 .kt-button{font-weight:normal;font-style:normal;}.kt-btns90176_b105e5-69 .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns90176_b105e5-69 .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns90176_b105e5-69 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90176_b105e5-69 .kt-btn-wrap-0 .kt-button:focus{color:#ffffff;border-color:#444444;}.wp-block-kadence-advancedbtn.kt-btns90176_b105e5-69 .kt-btn-wrap-0 .kt-button::before{display:none;}.wp-block-kadence-advancedbtn.kt-btns90176_b105e5-69 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90176_b105e5-69 .kt-btn-wrap-0 .kt-button:focus{background:#444444;}<\/style>\n<div class=\"wp-block-kadence-advancedbtn kb-buttons-wrap kb-btns90176_b105e5-69\"><style>ul.menu .wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button{width:initial;}.wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button{color:#003a5d;background:#ffffff;font-size:1.25rem;line-height:1.45;text-transform:uppercase;border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;padding-top:12px;padding-right:32px;padding-bottom:12px;padding-left:32px;}.wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button:focus{color:#ffffff;background:rgba(0,0,0,0);border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}@media all and (max-width: 767px){.wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}.wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90176_15eaec-cf.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}<\/style><a class=\"kb-button kt-button button kb-btn90176_15eaec-cf kt-btn-size-standard kt-btn-width-type-auto kb-btn-global-inherit  kt-btn-has-text-true kt-btn-has-svg-false  wp-block-button__link read-more-trigger wp-block-kadence-singlebtn\" href=\"#\" role=\"button\"><span class=\"kt-btn-inner-text\">Read More<\/span><\/a><\/div>\n<\/div><\/div>\n\n\n<style>.kadence-column90176_10f44d-af > .kt-inside-inner-col{display:flex;}.kadence-column90176_10f44d-af > .kt-inside-inner-col,.kadence-column90176_10f44d-af > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90176_10f44d-af > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90176_10f44d-af > .kt-inside-inner-col{flex-direction:column;align-items:flex-end;}.kadence-column90176_10f44d-af > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90176_10f44d-af > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column90176_10f44d-af > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90176_10f44d-af > .kt-inside-inner-col{background-image:url('https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/Services_Banner_Securities_Enforcement__Regulatory_Enforcement-new.jpg');background-size:cover;background-position:49% 2%;background-attachment:scroll;background-repeat:no-repeat;}.kadence-column90176_10f44d-af > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90176_10f44d-af{position:relative;}.kadence-column90176_10f44d-af, .kt-inside-inner-col > .kadence-column90176_10f44d-af:not(.specificity){margin-right:0px;}@media all and (max-width: 1024px){.kadence-column90176_10f44d-af > .kt-inside-inner-col{min-height:500px;flex-direction:column;justify-content:center;align-items:flex-end;}}@media all and (max-width: 767px){.kadence-column90176_10f44d-af > .kt-inside-inner-col{min-height:300px;flex-direction:column;justify-content:center;align-items:flex-end;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90176_10f44d-af hide-on-print\"><div class=\"kt-inside-inner-col\"><\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90176_5b655e-3a > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90176_5b655e-3a > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90176_5b655e-3a > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:43px;padding-right:0px;padding-bottom:20px;padding-left:30px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90176_5b655e-3a > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90176_5b655e-3a > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90176_5b655e-3a > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90176_5b655e-3a alignfull gradient-bottom-border read-more-content wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column90176_e2b111-56 > .kt-inside-inner-col,.kadence-column90176_e2b111-56 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90176_e2b111-56 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90176_e2b111-56 > .kt-inside-inner-col{flex-direction:column;}.kadence-column90176_e2b111-56 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90176_e2b111-56 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90176_e2b111-56{position:relative;}@media all and (max-width: 1024px){.kadence-column90176_e2b111-56 > .kt-inside-inner-col{padding-right:32px;padding-left:32px;flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90176_e2b111-56 > .kt-inside-inner-col{padding-right:20px;padding-left:20px;flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90176_e2b111-56\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90176_58320f-86, .wp-block-kadence-advancedheading.kt-adv-heading90176_58320f-86[data-kb-block=\"kb-adv-heading90176_58320f-86\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90176_58320f-86 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_58320f-86[data-kb-block=\"kb-adv-heading90176_58320f-86\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_58320f-86 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_58320f-86[data-kb-block=\"kb-adv-heading90176_58320f-86\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90176_58320f-86 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_58320f-86\">Our attorneys\u2019 experience working for financial regulators positions McGuireWoods to effectively represent the world\u2019s largest financial institutions in connection with inquiries by the SEC, FINRA, OCC, CFPB, U.S. Department of Justice, Federal Reserve Board, Federal Deposit Insurance Corporation, state attorneys general and other regulators.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90176_849e95-a1, .wp-block-kadence-advancedheading.kt-adv-heading90176_849e95-a1[data-kb-block=\"kb-adv-heading90176_849e95-a1\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90176_849e95-a1 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_849e95-a1[data-kb-block=\"kb-adv-heading90176_849e95-a1\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_849e95-a1 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_849e95-a1[data-kb-block=\"kb-adv-heading90176_849e95-a1\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90176_849e95-a1 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_849e95-a1\">From the receipt of a supervisory letter or grand jury subpoena to a full-blown investigation with significant media interest, we gauge the potential legal, business and reputational consequences, counseling clients on the best path forward to resolve the issue while avoiding damaging missteps. McGuireWoods also helps financial services clients limit collateral consequences of investigations by establishing corrective measures for enforcement actions relating to trading and market access.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id90176_19597f-3d{margin-top:13px;}.kb-row-layout-id90176_19597f-3d > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90176_19597f-3d > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90176_19597f-3d > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:80px;padding-right:0px;padding-bottom:80px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90176_19597f-3d{background-color:#bbd5ec;background-image:url('https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/background-vector.svg');background-size:auto;background-position:0% 100%;background-attachment:scroll;background-repeat:no-repeat;}.kb-row-layout-id90176_19597f-3d > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90176_19597f-3d > .kt-row-column-wrap{padding-right:32px;padding-left:32px;grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90176_19597f-3d > .kt-row-column-wrap{padding-top:40px;padding-right:20px;padding-bottom:40px;padding-left:20px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90176_19597f-3d alignfull kt-row-has-bg wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column90176_d94aba-c3 > .kt-inside-inner-col,.kadence-column90176_d94aba-c3 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90176_d94aba-c3 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90176_d94aba-c3 > .kt-inside-inner-col{flex-direction:column;}.kadence-column90176_d94aba-c3 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90176_d94aba-c3 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90176_d94aba-c3{position:relative;}@media all and (max-width: 1024px){.kadence-column90176_d94aba-c3 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90176_d94aba-c3 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90176_d94aba-c3\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d, .wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d[data-kb-block=\"kb-adv-heading90176_78e08e-9d\"]{max-width:1150px;margin-right:auto;margin-left:auto;text-align:center;font-size:2rem;line-height:1.2;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d[data-kb-block=\"kb-adv-heading90176_78e08e-9d\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d[data-kb-block=\"kb-adv-heading90176_78e08e-9d\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 1024px){.wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d, .wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d[data-kb-block=\"kb-adv-heading90176_78e08e-9d\"]{font-size:2rem;}}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d, .wp-block-kadence-advancedheading.kt-adv-heading90176_78e08e-9d[data-kb-block=\"kb-adv-heading90176_78e08e-9d\"]{font-size:1.5rem;}}<\/style>\n<p class=\"kt-adv-heading90176_78e08e-9d wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_78e08e-9d\">McGuireWoods\u2019 trading and markets compliance and enforcement team draws on its experience and knowledge of the financial industry to provide clients with compliance counseling and enforcement defense services.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90176_81288e-d1 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90176_81288e-d1 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90176_81288e-d1 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90176_81288e-d1{border-left:60px solid #ac3207;}.kb-row-layout-id90176_81288e-d1 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90176_81288e-d1 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 1024px){.kb-row-layout-id90176_81288e-d1{border-left:60px solid #ac3207;}}@media all and (max-width: 767px){.kb-row-layout-id90176_81288e-d1 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90176_81288e-d1{border-left:30px solid #ac3207;}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90176_81288e-d1 alignfull wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top\">\n<style>.kadence-column90176_94ef18-9f > .kt-inside-inner-col{padding-bottom:62px;}.kadence-column90176_94ef18-9f > .kt-inside-inner-col,.kadence-column90176_94ef18-9f > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90176_94ef18-9f > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90176_94ef18-9f > .kt-inside-inner-col{flex-direction:column;}.kadence-column90176_94ef18-9f > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90176_94ef18-9f > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90176_94ef18-9f{position:relative;}@media all and (max-width: 1024px){.kadence-column90176_94ef18-9f > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90176_94ef18-9f > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90176_94ef18-9f animated-testimonial\"><div class=\"kt-inside-inner-col\"><style>.kb-advanced-slider-90176_57b9cc-e3{--kb-adv-slider-gap:30px;}.kb-advanced-slider-90176_57b9cc-e3 .splide__arrow{font-size:60px;}.kb-advanced-slider-90176_57b9cc-e3 .kb-slider-size-fixed .kb-advanced-slide-inner-wrap{min-height:330px;}.kb-advanced-slider-90176_57b9cc-e3 .kb-advanced-slide-inner-wrap{padding-top:63px;}.kb-advanced-slider-90176_57b9cc-e3 .splide .splide__arrow, .kb-advanced-slider-90176_57b9cc-e3 .kb-slider-pause-button{color:#ee690c;}.kb-advanced-slider-90176_57b9cc-e3 .splide .splide__arrow:hover, .kb-advanced-slider-90176_57b9cc-e3 .kb-slider-pause-button:hover{color:#ee690c;}.kb-advanced-slider-90176_57b9cc-e3 .splide .splide__arrow:active, .kb-advanced-slider-90176_57b9cc-e3 .kb-slider-pause-button:active{color:#ee690c;}.kb-advanced-slider-90176_57b9cc-e3 .splide .splide__arrow, .kb-advanced-slider-90176_57b9cc-e3 .kb-slider-pause-button{background-color:rgba(0,0,0,0);}.kb-advanced-slider-90176_57b9cc-e3 .splide .splide__arrow:hover, .kb-advanced-slider-90176_57b9cc-e3 .kb-slider-pause-button:hover{background-color:rgba(0,0,0,0);}.kb-advanced-slider-90176_57b9cc-e3 .splide .splide__arrow:active, .kb-advanced-slider-90176_57b9cc-e3 .kb-slider-pause-button:active{background-color:rgba(0,0,0,0);}.kb-advanced-slider-90176_57b9cc-e3 .splide__pagination__page{opacity:1;}.kb-advanced-slider-90176_57b9cc-e3 .splide__pagination__page{background-color:#949494;}.kb-advanced-slider-90176_57b9cc-e3 .splide__pagination__page:hover{background-color:#949494;}.kb-advanced-slider-90176_57b9cc-e3 .splide__pagination__page.is-active{background-color:#ee690c;}.kb-advanced-slider-90176_57b9cc-e3 .splide__pagination__page{border-color:#ffffff;}.kb-advanced-slider-90176_57b9cc-e3 .splide__pagination__page:hover{border-color:#ffffff;}.kb-advanced-slider-90176_57b9cc-e3 .splide__pagination__page.is-active{border-color:#ffffff;}.kb-advanced-slider-90176_57b9cc-e3 .splide__pagination__page{border-width:2px;border-style:solid;}<\/style><div class=\"kb-advanced-slider kb-advanced-slider-90176_57b9cc-e3 services-testimonial-slider wp-block-kadence-slider\"><div class=\"kb-advanced-slider-inner-contain kb-adv-slider-html-version-2\"><div class=\"kb-blocks-advanced-carousel kt-blocks-carousel kt-carousel-container-dotstyle-custom\"><div class=\"kb-blocks-advanced-slider-init kb-slider-loading kb-blocks-slider kt-carousel-arrowstyle-custom kt-carousel-dotstyle-custom kb-slider-size-fixed kb-slider-type-slider kb-slider-ratio-12-5 kb-slider-group-arrow kb-slider-arrow-position-center kb-slider-tab-ratio-inherit kb-slider-mobile-ratio-inherit splide kb-splide  kb-slider-version-2\" aria-label=\"Slider content\" data-slider-center-mode=\"true\" data-slider-type=\"slider\" data-loop-type=\"loop\" data-columns-xxl=\"3\" data-columns-xl=\"3\" data-columns-md=\"3\" data-columns-sm=\"2\" data-columns-xs=\"1\" data-columns-ss=\"1\" data-slider-anim-speed=\"400\" data-slider-scroll=\"1\" data-slider-fade=\"false\" data-slider-arrows=\"true\" data-slider-dots=\"true\" data-slider-hover-pause=\"false\" data-slider-auto=\"false\"  data-dragging=\"true\" data-slider-speed=\"7000\" data-slider-gap=\"30\" data-slider-gap-tablet=\"30\" data-slider-gap-mobile=\"30\" data-slider-gap-unit=\"px\"><div class=\"splide__track\"><ul class=\"splide__list\">\n\n<li class=\"wp-block-kadence-slide kb-advanced-slide-item kb-slide-90176_10a3ea-67\"><div class=\"kb-advanced-slide\"><div class=\"kb-advanced-slide-inner-wrap\"><div class=\"kb-advanced-slide-inner\"><style>.wp-block-kadence-image.kb-image90176_65cace-36:not(.kb-specificity-added):not(.kb-extra-specificity-added){margin-bottom:40px;}.kb-image90176_65cace-36.kb-image-is-ratio-size, .kb-image90176_65cace-36 .kb-image-is-ratio-size{max-width:86px;width:100%;}.wp-block-kadence-column > .kt-inside-inner-col > .kb-image90176_65cace-36.kb-image-is-ratio-size, .wp-block-kadence-column > .kt-inside-inner-col > .kb-image90176_65cace-36 .kb-image-is-ratio-size{align-self:unset;}.kb-image90176_65cace-36 figure{max-width:86px;}.kb-image90176_65cace-36 .image-is-svg, .kb-image90176_65cace-36 .image-is-svg img{width:100%;}.kb-image90176_65cace-36 .kb-image-has-overlay:after{opacity:0.3;}<\/style>\n<div class=\"wp-block-kadence-image kb-image90176_65cace-36 hide-on-print\"><figure class=\"aligncenter size-large image-is-svg\"><img decoding=\"async\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg\" alt class=\"kb-img wp-image-90118\"><\/figure><\/div>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90176_6484de-b2, .wp-block-kadence-advancedheading.kt-adv-heading90176_6484de-b2[data-kb-block=\"kb-adv-heading90176_6484de-b2\"]{max-width:768px;margin-right:auto;margin-left:auto;margin-bottom:32px;text-align:center;font-size:2.5rem;line-height:1.2;font-style:normal;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading90176_6484de-b2 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_6484de-b2[data-kb-block=\"kb-adv-heading90176_6484de-b2\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_6484de-b2 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_6484de-b2[data-kb-block=\"kb-adv-heading90176_6484de-b2\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90176_6484de-b2 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_6484de-b2\"><strong>Nationwide rankings for securities \/ capital markets law and securities regulation.<\/strong><\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90176_b0241b-fb, .wp-block-kadence-advancedheading.kt-adv-heading90176_b0241b-fb[data-kb-block=\"kb-adv-heading90176_b0241b-fb\"]{font-size:1.125rem;font-weight:600;font-style:normal;font-family:Inter;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading90176_b0241b-fb mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_b0241b-fb[data-kb-block=\"kb-adv-heading90176_b0241b-fb\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_b0241b-fb img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_b0241b-fb[data-kb-block=\"kb-adv-heading90176_b0241b-fb\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90176_b0241b-fb wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_b0241b-fb\">\u2013 Best Law Firms<\/p>\n<\/div><\/div><\/div><\/li>\n\n\n\n<li class=\"wp-block-kadence-slide kb-advanced-slide-item kb-slide-90176_11d606-5b\"><div class=\"kb-advanced-slide\"><div class=\"kb-advanced-slide-inner-wrap\"><div class=\"kb-advanced-slide-inner\"><style>.wp-block-kadence-image.kb-image90176_c350f1-38:not(.kb-specificity-added):not(.kb-extra-specificity-added){margin-bottom:40px;}.kb-image90176_c350f1-38.kb-image-is-ratio-size, .kb-image90176_c350f1-38 .kb-image-is-ratio-size{max-width:86px;width:100%;}.wp-block-kadence-column > .kt-inside-inner-col > .kb-image90176_c350f1-38.kb-image-is-ratio-size, .wp-block-kadence-column > .kt-inside-inner-col > .kb-image90176_c350f1-38 .kb-image-is-ratio-size{align-self:unset;}.kb-image90176_c350f1-38 figure{max-width:86px;}.kb-image90176_c350f1-38 .image-is-svg, .kb-image90176_c350f1-38 .image-is-svg img{width:100%;}.kb-image90176_c350f1-38 .kb-image-has-overlay:after{opacity:0.3;}<\/style>\n<div class=\"wp-block-kadence-image kb-image90176_c350f1-38 hide-on-print\"><figure class=\"aligncenter size-large image-is-svg\"><img decoding=\"async\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg\" alt=\"testimonial quote ic\" class=\"kb-img wp-image-90118\"><\/figure><\/div>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90176_8363b9-31, .wp-block-kadence-advancedheading.kt-adv-heading90176_8363b9-31[data-kb-block=\"kb-adv-heading90176_8363b9-31\"]{max-width:768px;margin-right:auto;margin-left:auto;margin-bottom:32px;text-align:center;font-size:2.5rem;font-style:normal;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading90176_8363b9-31 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_8363b9-31[data-kb-block=\"kb-adv-heading90176_8363b9-31\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_8363b9-31 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_8363b9-31[data-kb-block=\"kb-adv-heading90176_8363b9-31\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90176_8363b9-31 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_8363b9-31\"><strong>Nationwide rankings for financial services regulation: broker-dealer (compliance and enforcement).<\/strong><\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90176_d81676-57, .wp-block-kadence-advancedheading.kt-adv-heading90176_d81676-57[data-kb-block=\"kb-adv-heading90176_d81676-57\"]{font-size:1.125rem;font-weight:600;font-style:normal;font-family:Inter;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading90176_d81676-57 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_d81676-57[data-kb-block=\"kb-adv-heading90176_d81676-57\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_d81676-57 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_d81676-57[data-kb-block=\"kb-adv-heading90176_d81676-57\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90176_d81676-57 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_d81676-57\">\u2013 Chambers USA<\/p>\n<\/div><\/div><\/div><\/li>\n\n<\/ul><\/div><\/div><\/div><\/div><\/div><\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90176_a29f27-a3 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90176_a29f27-a3 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90176_a29f27-a3 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:64px;padding-bottom:64px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90176_a29f27-a3 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90176_a29f27-a3 > .kt-row-column-wrap{padding-right:32px;padding-left:32px;grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90176_a29f27-a3 > .kt-row-column-wrap{padding-top:40px;padding-right:20px;padding-bottom:40px;padding-left:20px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90176_a29f27-a3 alignfull wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column90176_fc2a12-1c > .kt-inside-inner-col,.kadence-column90176_fc2a12-1c > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90176_fc2a12-1c > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90176_fc2a12-1c > .kt-inside-inner-col{flex-direction:column;}.kadence-column90176_fc2a12-1c > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90176_fc2a12-1c > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90176_fc2a12-1c{position:relative;}@media all and (max-width: 1024px){.kadence-column90176_fc2a12-1c > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90176_fc2a12-1c > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90176_fc2a12-1c\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90176_3c164f-aa, .wp-block-kadence-advancedheading.kt-adv-heading90176_3c164f-aa[data-kb-block=\"kb-adv-heading90176_3c164f-aa\"]{margin-bottom:50px;font-size:3rem;font-weight:bold;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading90176_3c164f-aa mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90176_3c164f-aa[data-kb-block=\"kb-adv-heading90176_3c164f-aa\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90176_3c164f-aa img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90176_3c164f-aa[data-kb-block=\"kb-adv-heading90176_3c164f-aa\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<h2 class=\"kt-adv-heading90176_3c164f-aa wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90176_3c164f-aa\">Senior Contacts<\/h2>\n\n\n<div style=\"padding-top:var(--wp--preset--spacing--10);padding-bottom:var(--wp--preset--spacing--20);\" class=\"wp-block-mgw-people-content-selector\" data-layout=\"featured-grid\"><div class=\"wp-block-mgw-people-content-selector__grid grid-posts grid-posts__2\">\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-1078 people type-people status-publish hentry practice_tax-wealth-management-compliance-enforcement practice_tax-trading-markets-compliance-enforcement practice_tax-investment-advisory-compliance-regulatory-counseling practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-private-equity-transactions practice_tax-securities-enforcement\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/a\/john-v-ayanian\/\" aria-label=\"John V. Ayanian\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/a\/john-v-ayanian\/\">\n\t\t\t\tJohn V. Ayanian\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"jayanian@mcguirewoods.com\" aria-label=\"Email John V. Ayanian\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=1078&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download John V. Ayanian vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-202-857-2428\" aria-label=\"Call John V. Ayanian\">\n\t\t\t\t\t\tT: +1 202 857 2428\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:jayanian@mcguirewoods.com\" aria-label=\"Email John V. Ayanian\">\n\t\t\t\t\t\tjayanian@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-589 people type-people status-publish hentry practice_tax-bsa-aml-counseling-defense practice_tax-securities-enforcement practice_tax-state-ag-investigations practice_tax-government-investigations-white-collar-litigation practice_tax-banking-regulation-enforcement practice_tax-anti-corruption practice_tax-public-company-advisory practice_tax-crisis-management-incident-response practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-trading-markets-compliance-enforcement practice_tax-wealth-management-compliance-enforcement practice_tax-fintech\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/elizabeth-j-hogan\/\" aria-label=\"Elizabeth J. Hogan\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"Elizabeth Hogan\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/elizabeth-j-hogan\/\">\n\t\t\t\tElizabeth J. Hogan\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"ehogan@mcguirewoods.com\" aria-label=\"Email Elizabeth J. Hogan\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=589&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download Elizabeth J. Hogan vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-202-828-2818\" aria-label=\"Call Elizabeth J. Hogan\">\n\t\t\t\t\t\tT: +1 202 828 2818\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:ehogan@mcguirewoods.com\" aria-label=\"Email Elizabeth J. Hogan\">\n\t\t\t\t\t\tehogan@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-50887 people type-people status-publish hentry practice_tax-securities-enforcement practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-trading-markets-compliance-enforcement practice_tax-wealth-management-compliance-enforcement\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/b\/todd-m-beaton\/\" aria-label=\"Todd M. Beaton, Jr.\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/b\/todd-m-beaton\/\">\n\t\t\t\tTodd M. Beaton, Jr.\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"tbeaton@mcguirewoods.com\" aria-label=\"Email Todd M. Beaton, Jr.\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=50887&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download Todd M. Beaton, Jr. vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-212-548-2166\" aria-label=\"Call Todd M. Beaton, Jr.\">\n\t\t\t\t\t\tT: +1 212 548 2166\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:tbeaton@mcguirewoods.com\" aria-label=\"Email Todd M. Beaton, Jr.\">\n\t\t\t\t\t\ttbeaton@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n<\/div><\/div>\n\n<style>.wp-block-kadence-advancedbtn.kt-btns90176_0c61f4-f7, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns90176_0c61f4-f7, .wp-block-kadence-advancedbtn.kb-btns90176_0c61f4-f7, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns90176_0c61f4-f7{margin-top:65px;}.wp-block-kadence-advancedbtn.kb-btns90176_0c61f4-f7{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:flex-start;align-items:center;}.kt-btns90176_0c61f4-f7 .kt-button{font-weight:normal;font-style:normal;}.kt-btns90176_0c61f4-f7 .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns90176_0c61f4-f7 .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns90176_0c61f4-f7 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90176_0c61f4-f7 .kt-btn-wrap-0 .kt-button:focus{color:#ffffff;border-color:#444444;}.wp-block-kadence-advancedbtn.kt-btns90176_0c61f4-f7 .kt-btn-wrap-0 .kt-button::before{display:none;}.wp-block-kadence-advancedbtn.kt-btns90176_0c61f4-f7 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90176_0c61f4-f7 .kt-btn-wrap-0 .kt-button:focus{background:#444444;}<\/style>\n<div class=\"wp-block-kadence-advancedbtn kb-buttons-wrap kb-btns90176_0c61f4-f7\"><style>ul.menu .wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button{width:initial;}.wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button{color:#003a5d;background:#ffffff;font-size:1.25rem;line-height:1.45;text-transform:uppercase;border-top-left-radius:50px;border-top-right-radius:50px;border-bottom-right-radius:50px;border-bottom-left-radius:50px;border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;padding-top:12px;padding-right:32px;padding-bottom:12px;padding-left:32px;}.wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button:focus{color:#ffffff;background:#003b5c;border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}@media all and (max-width: 767px){.wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}.wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90176_4dc7af-95.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}<\/style><a class=\"kb-button kt-button button kb-btn90176_4dc7af-95 kt-btn-size-standard kt-btn-width-type-auto kb-btn-global-inherit  kt-btn-has-text-true kt-btn-has-svg-false  wp-block-button__link read-more-trigger wp-block-kadence-singlebtn\" aria-label=\"View More Team Members\" href=\"https:\/\/www.mcguirewoods.com\/people\/?wp_posts_people%5BrefinementList%5D%5Blinked_services%5D%5B0%5D=Trading%20%26%20Markets%20Compliance%20and%20Enforcement\"><span class=\"kt-btn-inner-text\">full team<\/span><\/a><\/div>\n<\/div><\/div>\n\n<\/div><\/div>","protected":false},"excerpt":{"rendered":"<p>Trading &amp; Markets Compliance and Enforcement We represent financial institutions, from multinational, regional and community banks to broker-dealers and nontraditional lenders, fintech and cryptocurrency companies. The team comprises a robust&#8230;<\/p>\n","protected":false},"author":4,"featured_media":0,"parent":166,"menu_order":0,"template":"","site_tax":[2],"class_list":["post-90176","practice","type-practice","status-publish","hentry"],"acf":[],"links_out":[],"links_in":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.9 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Trading &amp; Markets Compliance and Enforcement - McGuireWoods<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/trading-markets-compliance-enforcement\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Trading &amp; Markets Compliance and Enforcement - McGuireWoods\" \/>\n<meta property=\"og:description\" content=\"Trading &amp; Markets Compliance and Enforcement We represent financial institutions, from multinational, regional and community banks to broker-dealers and nontraditional lenders, fintech and cryptocurrency companies. 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