{"id":90178,"date":"2025-08-04T19:55:14","date_gmt":"2025-08-05T00:55:14","guid":{"rendered":"https:\/\/www.mcguirewoods.com\/?post_type=practice&#038;p=90178"},"modified":"2025-10-17T08:51:45","modified_gmt":"2025-10-17T13:51:45","slug":"wealth-management-compliance-enforcement","status":"publish","type":"practice","link":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/","title":{"rendered":"Wealth Management Compliance &amp; Enforcement"},"content":{"rendered":"<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id90178_fe77b8-e5{margin-top:-80px;}.kb-row-layout-id90178_fe77b8-e5 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90178_fe77b8-e5 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5{--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-id90178_fe77b8-e5{background-color:#003b5c;}.kb-row-layout-id90178_fe77b8-e5 > .kt-row-layout-overlay{opacity:0.30;}.kb-row-layout-id90178_fe77b8-e5{z-index:1;position:relative;}@media all and (min-width: 1025px){.kb-row-layout-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90178_fe77b8-e5 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(1 of *:not(style)){order:2;}.kb-row-layout-id90178_fe77b8-e5 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){order:1;}.kb-row-layout-id90178_fe77b8-e5 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(3 of *:not(style)){order:12;}.kb-row-layout-id90178_fe77b8-e5 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(4 of *:not(style)){order:11;}.kb-row-layout-id90178_fe77b8-e5 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(5 of *:not(style)){order:22;}.kb-row-layout-id90178_fe77b8-e5 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(6 of *:not(style)){order:21;}.kb-row-layout-id90178_fe77b8-e5 > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(7 of *:not(style)){order:32;}.kb-row-layout-id90178_fe77b8-e5 > .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-id90178_fe77b8-e5 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-column90178_934cd0-e2 > .kt-inside-inner-col{display:flex;}.kadence-column90178_934cd0-e2 > .kt-inside-inner-col{padding-top:8rem;padding-bottom:2.5rem;}.kadence-column90178_934cd0-e2 > .kt-inside-inner-col,.kadence-column90178_934cd0-e2 > .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-column90178_934cd0-e2 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90178_934cd0-e2 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column90178_934cd0-e2 > .kt-inside-inner-col > .aligncenter{width:100%;}.kt-row-column-wrap > .kadence-column90178_934cd0-e2{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90178_934cd0-e2{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90178_934cd0-e2 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column90178_934cd0-e2 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90178_934cd0-e2, .kadence-column90178_934cd0-e2 h1, .kadence-column90178_934cd0-e2 h2, .kadence-column90178_934cd0-e2 h3, .kadence-column90178_934cd0-e2 h4, .kadence-column90178_934cd0-e2 h5, .kadence-column90178_934cd0-e2 h6{color:#ffffff;}.kadence-column90178_934cd0-e2{position:relative;}.kadence-column90178_934cd0-e2, .kt-inside-inner-col > .kadence-column90178_934cd0-e2:not(.specificity){margin-top:80px;}@media all and (max-width: 1024px){.kadence-column90178_934cd0-e2 > .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-column90178_934cd0-e2{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-column90178_934cd0-e2{align-self:auto;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90178_934cd0-e2 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}@media all and (max-width: 767px){.kadence-column90178_934cd0-e2 > .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-column90178_934cd0-e2{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90178_934cd0-e2{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90178_934cd0-e2 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90178_934cd0-e2\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90178_5b8d12-f4, .wp-block-kadence-advancedheading.kt-adv-heading90178_5b8d12-f4[data-kb-block=\"kb-adv-heading90178_5b8d12-f4\"]{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-heading90178_5b8d12-f4 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_5b8d12-f4[data-kb-block=\"kb-adv-heading90178_5b8d12-f4\"] 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-heading90178_5b8d12-f4 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_5b8d12-f4[data-kb-block=\"kb-adv-heading90178_5b8d12-f4\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading90178_5b8d12-f4, .wp-block-kadence-advancedheading.kt-adv-heading90178_5b8d12-f4[data-kb-block=\"kb-adv-heading90178_5b8d12-f4\"]{font-size:2.5rem;}}<\/style>\n<h1 class=\"kt-adv-heading90178_5b8d12-f4 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_5b8d12-f4\">Wealth Management Compliance &amp; Enforcement<\/h1>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90178_ae5cf1-59, .wp-block-kadence-advancedheading.kt-adv-heading90178_ae5cf1-59[data-kb-block=\"kb-adv-heading90178_ae5cf1-59\"]{font-size:1.25rem;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading90178_ae5cf1-59 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_ae5cf1-59[data-kb-block=\"kb-adv-heading90178_ae5cf1-59\"] 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-heading90178_ae5cf1-59 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_ae5cf1-59[data-kb-block=\"kb-adv-heading90178_ae5cf1-59\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_ae5cf1-59 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_ae5cf1-59\">The firm\u2019s Wealth Management Compliance and Enforcement team offers sophisticated counsel to financial institutions, broker-dealers, registered investment advisers, and private banks navigating the complex regulatory landscape of wealth management. We advise clients on the development and implementation of policies and controls to ensure compliance with evolving federal and state regulatory frameworks, and we represent firms and individuals in examinations, investigations, and enforcement proceedings.<\/p>\n\n\n<style>.wp-block-kadence-advancedbtn.kt-btns90178_668db1-06, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns90178_668db1-06, .wp-block-kadence-advancedbtn.kb-btns90178_668db1-06, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns90178_668db1-06{margin-top:40px;}.wp-block-kadence-advancedbtn.kb-btns90178_668db1-06{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:flex-start;align-items:center;}.kt-btns90178_668db1-06 .kt-button{font-weight:normal;font-style:normal;}.kt-btns90178_668db1-06 .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns90178_668db1-06 .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns90178_668db1-06 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90178_668db1-06 .kt-btn-wrap-0 .kt-button:focus{color:#ffffff;border-color:#444444;}.wp-block-kadence-advancedbtn.kt-btns90178_668db1-06 .kt-btn-wrap-0 .kt-button::before{display:none;}.wp-block-kadence-advancedbtn.kt-btns90178_668db1-06 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90178_668db1-06 .kt-btn-wrap-0 .kt-button:focus{background:#444444;}<\/style>\n<div class=\"wp-block-kadence-advancedbtn kb-buttons-wrap kb-btns90178_668db1-06\"><style>ul.menu .wp-block-kadence-advancedbtn .kb-btn90178_e6aec8-14.kb-button{width:initial;}.wp-block-kadence-advancedbtn .kb-btn90178_e6aec8-14.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-btn90178_e6aec8-14.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90178_e6aec8-14.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-btn90178_e6aec8-14.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-btn90178_e6aec8-14.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90178_e6aec8-14.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-btn90178_e6aec8-14.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-btn90178_e6aec8-14.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90178_e6aec8-14.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-btn90178_e6aec8-14 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-column90178_519534-7f > .kt-inside-inner-col{display:flex;}.kadence-column90178_519534-7f > .kt-inside-inner-col,.kadence-column90178_519534-7f > .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-column90178_519534-7f > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90178_519534-7f > .kt-inside-inner-col{flex-direction:column;align-items:flex-end;}.kadence-column90178_519534-7f > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90178_519534-7f > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column90178_519534-7f > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90178_519534-7f > .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:44% 1%;background-attachment:scroll;background-repeat:no-repeat;}.kadence-column90178_519534-7f > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90178_519534-7f{position:relative;}.kadence-column90178_519534-7f, .kt-inside-inner-col > .kadence-column90178_519534-7f:not(.specificity){margin-right:0px;}@media all and (max-width: 1024px){.kadence-column90178_519534-7f > .kt-inside-inner-col{min-height:500px;flex-direction:column;justify-content:center;align-items:flex-end;}}@media all and (max-width: 767px){.kadence-column90178_519534-7f > .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-column90178_519534-7f hide-on-print\"><div class=\"kt-inside-inner-col\"><\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90178_5331f4-a7 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90178_5331f4-a7 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90178_5331f4-a7 > .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-id90178_5331f4-a7 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90178_5331f4-a7 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90178_5331f4-a7 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90178_5331f4-a7 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-column90178_72b669-31 > .kt-inside-inner-col,.kadence-column90178_72b669-31 > .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-column90178_72b669-31 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90178_72b669-31 > .kt-inside-inner-col{flex-direction:column;}.kadence-column90178_72b669-31 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90178_72b669-31 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90178_72b669-31{position:relative;}@media all and (max-width: 1024px){.kadence-column90178_72b669-31 > .kt-inside-inner-col{padding-right:32px;padding-left:32px;flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90178_72b669-31 > .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-column90178_72b669-31\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90178_224d0f-15, .wp-block-kadence-advancedheading.kt-adv-heading90178_224d0f-15[data-kb-block=\"kb-adv-heading90178_224d0f-15\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90178_224d0f-15 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_224d0f-15[data-kb-block=\"kb-adv-heading90178_224d0f-15\"] 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-heading90178_224d0f-15 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_224d0f-15[data-kb-block=\"kb-adv-heading90178_224d0f-15\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_224d0f-15 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_224d0f-15\">The firm\u2019s Wealth Management Compliance and Enforcement team is comprised of former government insiders from the Securities and Exchange Commission\u2019s Divisions of Enforcement and Trading and Markets, and Financial Industry Regulatory Authority\u2019s Enforcement Department and Market Regulation Enforcement team, and former senior in-house counsel, as well as prominent federal prosecutors who have looked at securities issues from multiple viewpoints and are better able to counsel clients on the full spectrum of regulatory, business and compliance issues, industry developments and market trends.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90178_3fe7f4-90, .wp-block-kadence-advancedheading.kt-adv-heading90178_3fe7f4-90[data-kb-block=\"kb-adv-heading90178_3fe7f4-90\"]{margin-bottom:15px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90178_3fe7f4-90 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_3fe7f4-90[data-kb-block=\"kb-adv-heading90178_3fe7f4-90\"] 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-heading90178_3fe7f4-90 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_3fe7f4-90[data-kb-block=\"kb-adv-heading90178_3fe7f4-90\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_3fe7f4-90 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_3fe7f4-90\">The team is well versed on key regulatory frameworks and rules in the wealth management space including:<\/p>\n\n\n<style>.wp-block-kadence-iconlist.kt-svg-icon-list-items90178_fa681e-64:not(.this-stops-third-party-issues){margin-top:0px;margin-bottom:0px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items90178_fa681e-64 ul.kt-svg-icon-list:not(.this-prevents-issues):not(.this-stops-third-party-issues):not(.tijsloc){margin-top:0px;margin-right:0px;margin-bottom:var(--global-kb-spacing-sm, 1.5rem);margin-left:0px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items90178_fa681e-64 ul.kt-svg-icon-list{grid-row-gap:5px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items90178_fa681e-64 .kb-svg-icon-wrap{font-size:6px;}.wp-block-kadence-iconlist.kt-svg-icon-list-items90178_fa681e-64 ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap .kt-svg-icon-list-single{margin-right:10px;}.kt-svg-icon-list-items90178_fa681e-64 ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap, .kt-svg-icon-list-items90178_fa681e-64 ul.kt-svg-icon-list .kt-svg-icon-list-item-wrap a{color:#003b5c;color:#003b5c;}.kt-svg-icon-list-items90178_fa681e-64 ul.kt-svg-icon-list .kt-svg-icon-list-level-0 .kt-svg-icon-list-single svg{font-size:20px;}<\/style>\n<div class=\"wp-block-kadence-iconlist kt-svg-icon-list-items kt-svg-icon-list-items90178_fa681e-64 kt-svg-icon-list-columns-1 alignnone kt-list-icon-aligntop kt-tablet-svg-icon-list-columns-1\"><ul class=\"kt-svg-icon-list\"><style>.kt-svg-icon-list-item-90178_12472f-9f .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;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;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-90178_12472f-9f\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">The Investment Advisers Act of 1940, Regulation Best Interest (Reg BI), Form CRS requirements, Investment Adviser Marketing Rule under Rule 206(4)-1 and books and records requirements.<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-90178_cbe061-25 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;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;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-90178_cbe061-25\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">FINRA Rules \u2013 including Rule 3110 (Supervision), Rule 2210 (Communications with the Public), Rule 3280 (Private Securities Transactions), and Rule 4512 (Customer Account Information).<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-90178_e6d556-fb .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;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;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-90178_e6d556-fb\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">Bank Secrecy Act (BSA) and AML Compliance.<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-90178_d2cf0f-c6 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;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;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-90178_d2cf0f-c6\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">DOL Fiduciary Rule and ERISA Considerations.<\/span><\/li>\n\n\n<style>.kt-svg-icon-list-item-90178_b370c4-97 .kt-svg-icon-list-text mark.kt-highlight{background-color:unset;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;}<\/style>\n<li class=\"wp-block-kadence-listitem kt-svg-icon-list-item-wrap kt-svg-icon-list-item-90178_b370c4-97\"><span class=\"kb-svg-icon-wrap kb-svg-icon-fas_circle kt-svg-icon-list-single\"><svg viewBox=\"0 0 512 512\"  fill=\"currentColor\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\"  aria-hidden=\"true\"><path d=\"M256 8C119 8 8 119 8 256s111 248 248 248 248-111 248-248S393 8 256 8z\"\/><\/svg><\/span><span class=\"kt-svg-icon-list-text\">State Statutes and NASAA Initiatives related to variations in state-level fiduciary and disclosure obligations.<\/span><\/li>\n<\/ul><\/div>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90178_fd0ad3-e7, .wp-block-kadence-advancedheading.kt-adv-heading90178_fd0ad3-e7[data-kb-block=\"kb-adv-heading90178_fd0ad3-e7\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90178_fd0ad3-e7 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_fd0ad3-e7[data-kb-block=\"kb-adv-heading90178_fd0ad3-e7\"] 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-heading90178_fd0ad3-e7 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_fd0ad3-e7[data-kb-block=\"kb-adv-heading90178_fd0ad3-e7\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_fd0ad3-e7 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_fd0ad3-e7\">We also advise on emerging enforcement trends involving complex products, options, social media use, off-channel communications, and cross-border issues. Our interdisciplinary team leverages deep regulatory experience and strong relationships with the SEC, FINRA, and state regulators to help clients stay ahead of scrutiny while aligning business growth with compliance integrity.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90178_42c704-e4, .wp-block-kadence-advancedheading.kt-adv-heading90178_42c704-e4[data-kb-block=\"kb-adv-heading90178_42c704-e4\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90178_42c704-e4 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_42c704-e4[data-kb-block=\"kb-adv-heading90178_42c704-e4\"] 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-heading90178_42c704-e4 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_42c704-e4[data-kb-block=\"kb-adv-heading90178_42c704-e4\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_42c704-e4 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_42c704-e4\">To mitigate risk and strengthen clients\u2019 supervisory programs, we conduct mock audits and help to structure new securities products and services that comply with regulatory requirements.&nbsp; The firm also has extensive experience in conducting internal investigations to assist clients in carrying out their responsibilities under the securities laws.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90178_e86e10-8d, .wp-block-kadence-advancedheading.kt-adv-heading90178_e86e10-8d[data-kb-block=\"kb-adv-heading90178_e86e10-8d\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90178_e86e10-8d mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_e86e10-8d[data-kb-block=\"kb-adv-heading90178_e86e10-8d\"] 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-heading90178_e86e10-8d img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_e86e10-8d[data-kb-block=\"kb-adv-heading90178_e86e10-8d\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_e86e10-8d wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_e86e10-8d\">When clients face government investigations or enforcement actions brought by the SEC, FINRA, the U.S. Department of Justice (DOJ), Congress, state attorneys general or other regulators, our securities enforcement and litigation teams vigorously defend them before regulatory authorities and in court.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id90178_e7896a-30{margin-top:13px;}.kb-row-layout-id90178_e7896a-30 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90178_e7896a-30 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90178_e7896a-30 > .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-id90178_e7896a-30{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-id90178_e7896a-30 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90178_e7896a-30 > .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-id90178_e7896a-30 > .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-id90178_e7896a-30 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-column90178_ab3b6e-18 > .kt-inside-inner-col,.kadence-column90178_ab3b6e-18 > .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-column90178_ab3b6e-18 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90178_ab3b6e-18 > .kt-inside-inner-col{flex-direction:column;}.kadence-column90178_ab3b6e-18 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90178_ab3b6e-18 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90178_ab3b6e-18{position:relative;}@media all and (max-width: 1024px){.kadence-column90178_ab3b6e-18 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90178_ab3b6e-18 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90178_ab3b6e-18\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90178_9529a7-12, .wp-block-kadence-advancedheading.kt-adv-heading90178_9529a7-12[data-kb-block=\"kb-adv-heading90178_9529a7-12\"]{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-heading90178_9529a7-12 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_9529a7-12[data-kb-block=\"kb-adv-heading90178_9529a7-12\"] 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-heading90178_9529a7-12 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_9529a7-12[data-kb-block=\"kb-adv-heading90178_9529a7-12\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 1024px){.wp-block-kadence-advancedheading.kt-adv-heading90178_9529a7-12, .wp-block-kadence-advancedheading.kt-adv-heading90178_9529a7-12[data-kb-block=\"kb-adv-heading90178_9529a7-12\"]{font-size:2rem;}}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading90178_9529a7-12, .wp-block-kadence-advancedheading.kt-adv-heading90178_9529a7-12[data-kb-block=\"kb-adv-heading90178_9529a7-12\"]{font-size:1.5rem;}}<\/style>\n<p class=\"kt-adv-heading90178_9529a7-12 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_9529a7-12\">McGuireWoods\u2019 nationally ranked Wealth Management Compliance and Enforcement team leverages elite government experience to help clients navigate complex securities regulations and avoid costly enforcement actions.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90178_528625-f5 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90178_528625-f5 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90178_528625-f5 > .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-id90178_528625-f5{border-left:60px solid #ac3207;}.kb-row-layout-id90178_528625-f5 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90178_528625-f5 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 1024px){.kb-row-layout-id90178_528625-f5{border-left:60px solid #ac3207;}}@media all and (max-width: 767px){.kb-row-layout-id90178_528625-f5 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90178_528625-f5{border-left:30px solid #ac3207;}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90178_528625-f5 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-column90178_d7e886-8a > .kt-inside-inner-col{padding-bottom:62px;}.kadence-column90178_d7e886-8a > .kt-inside-inner-col,.kadence-column90178_d7e886-8a > .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-column90178_d7e886-8a > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90178_d7e886-8a > .kt-inside-inner-col{flex-direction:column;}.kadence-column90178_d7e886-8a > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90178_d7e886-8a > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90178_d7e886-8a{position:relative;}@media all and (max-width: 1024px){.kadence-column90178_d7e886-8a > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90178_d7e886-8a > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90178_d7e886-8a animated-testimonial\"><div class=\"kt-inside-inner-col\"><style>.kb-advanced-slider-90178_8ffd86-1a{--kb-adv-slider-gap:30px;}.kb-advanced-slider-90178_8ffd86-1a .splide__arrow{font-size:60px;}.kb-advanced-slider-90178_8ffd86-1a .kb-slider-size-fixed .kb-advanced-slide-inner-wrap{min-height:330px;}.kb-advanced-slider-90178_8ffd86-1a .kb-advanced-slide-inner-wrap{padding-top:63px;}.kb-advanced-slider-90178_8ffd86-1a .splide .splide__arrow, .kb-advanced-slider-90178_8ffd86-1a .kb-slider-pause-button{color:#ee690c;}.kb-advanced-slider-90178_8ffd86-1a .splide .splide__arrow:hover, .kb-advanced-slider-90178_8ffd86-1a .kb-slider-pause-button:hover{color:#ee690c;}.kb-advanced-slider-90178_8ffd86-1a .splide .splide__arrow:active, .kb-advanced-slider-90178_8ffd86-1a .kb-slider-pause-button:active{color:#ee690c;}.kb-advanced-slider-90178_8ffd86-1a .splide .splide__arrow, .kb-advanced-slider-90178_8ffd86-1a .kb-slider-pause-button{background-color:rgba(0,0,0,0);}.kb-advanced-slider-90178_8ffd86-1a .splide .splide__arrow:hover, .kb-advanced-slider-90178_8ffd86-1a .kb-slider-pause-button:hover{background-color:rgba(0,0,0,0);}.kb-advanced-slider-90178_8ffd86-1a .splide .splide__arrow:active, .kb-advanced-slider-90178_8ffd86-1a .kb-slider-pause-button:active{background-color:rgba(0,0,0,0);}.kb-advanced-slider-90178_8ffd86-1a .splide__pagination__page{opacity:1;}.kb-advanced-slider-90178_8ffd86-1a .splide__pagination__page{background-color:#949494;}.kb-advanced-slider-90178_8ffd86-1a .splide__pagination__page:hover{background-color:#949494;}.kb-advanced-slider-90178_8ffd86-1a .splide__pagination__page.is-active{background-color:#ee690c;}.kb-advanced-slider-90178_8ffd86-1a .splide__pagination__page{border-color:#ffffff;}.kb-advanced-slider-90178_8ffd86-1a .splide__pagination__page:hover{border-color:#ffffff;}.kb-advanced-slider-90178_8ffd86-1a .splide__pagination__page.is-active{border-color:#ffffff;}.kb-advanced-slider-90178_8ffd86-1a .splide__pagination__page{border-width:2px;border-style:solid;}<\/style><div class=\"kb-advanced-slider kb-advanced-slider-90178_8ffd86-1a 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-90178_e505d1-ce\"><div class=\"kb-advanced-slide\"><div class=\"kb-advanced-slide-inner-wrap\"><div class=\"kb-advanced-slide-inner\"><style>.wp-block-kadence-image.kb-image90178_37caf4-90:not(.kb-specificity-added):not(.kb-extra-specificity-added){margin-bottom:40px;}.kb-image90178_37caf4-90.kb-image-is-ratio-size, .kb-image90178_37caf4-90 .kb-image-is-ratio-size{max-width:86px;width:100%;}.wp-block-kadence-column > .kt-inside-inner-col > .kb-image90178_37caf4-90.kb-image-is-ratio-size, .wp-block-kadence-column > .kt-inside-inner-col > .kb-image90178_37caf4-90 .kb-image-is-ratio-size{align-self:unset;}.kb-image90178_37caf4-90 figure{max-width:86px;}.kb-image90178_37caf4-90 .image-is-svg, .kb-image90178_37caf4-90 .image-is-svg img{width:100%;}.kb-image90178_37caf4-90 .kb-image-has-overlay:after{opacity:0.3;}<\/style>\n<div class=\"wp-block-kadence-image kb-image90178_37caf4-90 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-heading90178_928c96-76, .wp-block-kadence-advancedheading.kt-adv-heading90178_928c96-76[data-kb-block=\"kb-adv-heading90178_928c96-76\"]{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-heading90178_928c96-76 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_928c96-76[data-kb-block=\"kb-adv-heading90178_928c96-76\"] 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-heading90178_928c96-76 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_928c96-76[data-kb-block=\"kb-adv-heading90178_928c96-76\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_928c96-76 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_928c96-76\"><strong>Recognized as a &#8220;Standout&#8221; firm for securities and finance litigation in the BTI Litigation Outlook report.<\/strong><\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90178_8cc642-18, .wp-block-kadence-advancedheading.kt-adv-heading90178_8cc642-18[data-kb-block=\"kb-adv-heading90178_8cc642-18\"]{font-size:1.125rem;font-weight:600;font-style:normal;font-family:Inter;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading90178_8cc642-18 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_8cc642-18[data-kb-block=\"kb-adv-heading90178_8cc642-18\"] 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-heading90178_8cc642-18 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_8cc642-18[data-kb-block=\"kb-adv-heading90178_8cc642-18\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_8cc642-18 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_8cc642-18\">\u2013 BTI Consulting<\/p>\n<\/div><\/div><\/div><\/li>\n\n\n\n<li class=\"wp-block-kadence-slide kb-advanced-slide-item kb-slide-90178_9a33d6-17\"><div class=\"kb-advanced-slide\"><div class=\"kb-advanced-slide-inner-wrap\"><div class=\"kb-advanced-slide-inner\"><style>.wp-block-kadence-image.kb-image90178_cb6361-3a:not(.kb-specificity-added):not(.kb-extra-specificity-added){margin-bottom:40px;}.kb-image90178_cb6361-3a.kb-image-is-ratio-size, .kb-image90178_cb6361-3a .kb-image-is-ratio-size{max-width:86px;width:100%;}.wp-block-kadence-column > .kt-inside-inner-col > .kb-image90178_cb6361-3a.kb-image-is-ratio-size, .wp-block-kadence-column > .kt-inside-inner-col > .kb-image90178_cb6361-3a .kb-image-is-ratio-size{align-self:unset;}.kb-image90178_cb6361-3a figure{max-width:86px;}.kb-image90178_cb6361-3a .image-is-svg, .kb-image90178_cb6361-3a .image-is-svg img{width:100%;}.kb-image90178_cb6361-3a .kb-image-has-overlay:after{opacity:0.3;}<\/style>\n<div class=\"wp-block-kadence-image kb-image90178_cb6361-3a 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-heading90178_6548de-2d, .wp-block-kadence-advancedheading.kt-adv-heading90178_6548de-2d[data-kb-block=\"kb-adv-heading90178_6548de-2d\"]{max-width:1000px;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-heading90178_6548de-2d mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_6548de-2d[data-kb-block=\"kb-adv-heading90178_6548de-2d\"] 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-heading90178_6548de-2d img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_6548de-2d[data-kb-block=\"kb-adv-heading90178_6548de-2d\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_6548de-2d wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_6548de-2d\"><strong>Nationwide practice rankings for banking &amp; finance, financial services regulation: broker dealer (compliance &amp; enforcement).<\/strong><\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90178_584661-2f, .wp-block-kadence-advancedheading.kt-adv-heading90178_584661-2f[data-kb-block=\"kb-adv-heading90178_584661-2f\"]{font-size:1.125rem;font-weight:600;font-style:normal;font-family:Inter;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading90178_584661-2f mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_584661-2f[data-kb-block=\"kb-adv-heading90178_584661-2f\"] 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-heading90178_584661-2f img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_584661-2f[data-kb-block=\"kb-adv-heading90178_584661-2f\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90178_584661-2f wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_584661-2f\">\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-id90178_917a49-b6 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90178_917a49-b6 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90178_917a49-b6 > .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-id90178_917a49-b6 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90178_917a49-b6 > .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-id90178_917a49-b6 > .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-id90178_917a49-b6 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-column90178_fa4ce0-6c > .kt-inside-inner-col{display:flex;}.kadence-column90178_fa4ce0-6c > .kt-inside-inner-col,.kadence-column90178_fa4ce0-6c > .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-column90178_fa4ce0-6c > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90178_fa4ce0-6c > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column90178_fa4ce0-6c > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90178_fa4ce0-6c > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column90178_fa4ce0-6c > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90178_fa4ce0-6c > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90178_fa4ce0-6c{position:relative;}@media all and (max-width: 1024px){.kadence-column90178_fa4ce0-6c > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}@media all and (max-width: 767px){.kadence-column90178_fa4ce0-6c > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90178_fa4ce0-6c\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90178_fcdf93-d0, .wp-block-kadence-advancedheading.kt-adv-heading90178_fcdf93-d0[data-kb-block=\"kb-adv-heading90178_fcdf93-d0\"]{margin-bottom:50px;font-size:3rem;font-weight:bold;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading90178_fcdf93-d0 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90178_fcdf93-d0[data-kb-block=\"kb-adv-heading90178_fcdf93-d0\"] 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-heading90178_fcdf93-d0 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90178_fcdf93-d0[data-kb-block=\"kb-adv-heading90178_fcdf93-d0\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<h2 class=\"kt-adv-heading90178_fcdf93-d0 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90178_fcdf93-d0\">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-890 people type-people status-publish hentry practice_tax-business-litigation practice_tax-financial-services-litigation practice_tax-employment-litigation practice_tax-fiduciary-litigation practice_tax-securities-enforcement practice_tax-state-ag-investigations practice_tax-securities-shareholder-litigation practice_tax-government-investigations-white-collar-litigation practice_tax-ponzi-scheme-litigation practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-investment-advisory-compliance-regulatory-counseling 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\/g\/william-e-goydan\/\" aria-label=\"William E. Goydan\" 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\/goydan_william-afc21d48-af6f-416f-ac15-389f6b73414f-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/goydan_william-afc21d48-af6f-416f-ac15-389f6b73414f-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/goydan_william-afc21d48-af6f-416f-ac15-389f6b73414f-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/goydan_william-afc21d48-af6f-416f-ac15-389f6b73414f-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/goydan_william-afc21d48-af6f-416f-ac15-389f6b73414f.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\/g\/william-e-goydan\/\">\n\t\t\t\tWilliam E. Goydan\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=\"wgoydan@mcguirewoods.com\" aria-label=\"Email William E. Goydan\">\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=890&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download William E. Goydan 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:+1-212-548-2146\" aria-label=\"Call William E. Goydan\">\n\t\t\t\t\t\tT: +1 212 548 2146\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:wgoydan@mcguirewoods.com\" aria-label=\"Email William E. Goydan\">\n\t\t\t\t\t\twgoydan@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-btns90178_9f0a9f-b6, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns90178_9f0a9f-b6, .wp-block-kadence-advancedbtn.kb-btns90178_9f0a9f-b6, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns90178_9f0a9f-b6{margin-top:65px;}.wp-block-kadence-advancedbtn.kb-btns90178_9f0a9f-b6{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:center;align-items:center;}.kt-btns90178_9f0a9f-b6 .kt-button{font-weight:normal;font-style:normal;}.kt-btns90178_9f0a9f-b6 .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns90178_9f0a9f-b6 .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns90178_9f0a9f-b6 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90178_9f0a9f-b6 .kt-btn-wrap-0 .kt-button:focus{color:#ffffff;border-color:#444444;}.wp-block-kadence-advancedbtn.kt-btns90178_9f0a9f-b6 .kt-btn-wrap-0 .kt-button::before{display:none;}.wp-block-kadence-advancedbtn.kt-btns90178_9f0a9f-b6 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90178_9f0a9f-b6 .kt-btn-wrap-0 .kt-button:focus{background:#444444;}<\/style>\n<div class=\"wp-block-kadence-advancedbtn kb-buttons-wrap kb-btns90178_9f0a9f-b6\"><style>ul.menu .wp-block-kadence-advancedbtn .kb-btn90178_4bfcf8-6a.kb-button{width:initial;}.wp-block-kadence-advancedbtn .kb-btn90178_4bfcf8-6a.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-btn90178_4bfcf8-6a.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90178_4bfcf8-6a.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-btn90178_4bfcf8-6a.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-btn90178_4bfcf8-6a.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90178_4bfcf8-6a.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-btn90178_4bfcf8-6a.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-btn90178_4bfcf8-6a.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90178_4bfcf8-6a.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-btn90178_4bfcf8-6a 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=Wealth%20Management%20Compliance%20%26%20Enforcement\"><span class=\"kt-btn-inner-text\">full team<\/span><\/a><\/div>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90178_6b9317-32 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90178_6b9317-32 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90178_6b9317-32 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:24px;padding-bottom:24px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90178_6b9317-32{background-color:#003b5c;}.kb-row-layout-id90178_6b9317-32 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90178_6b9317-32 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90178_6b9317-32 > .kt-row-column-wrap{padding-top:40px;padding-right:8px;padding-bottom:40px;padding-left:8px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90178_6b9317-32 alignfull kt-row-has-bg hide-on-print 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-column90178_13f7cd-ae > .kt-inside-inner-col,.kadence-column90178_13f7cd-ae > .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-column90178_13f7cd-ae > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90178_13f7cd-ae > .kt-inside-inner-col{flex-direction:column;}.kadence-column90178_13f7cd-ae > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90178_13f7cd-ae > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90178_13f7cd-ae{position:relative;}@media all and (max-width: 1024px){.kadence-column90178_13f7cd-ae > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90178_13f7cd-ae > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90178_13f7cd-ae\"><div class=\"kt-inside-inner-col\"><style>.kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .wp-block-kadence-tab{border-top:0px solid transparent;border-right:0px solid transparent;border-bottom:0px solid transparent;border-left:0px solid transparent;padding-top:0px;padding-right:0px;padding-bottom:40px;padding-left:0px;}.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-title-list li{margin-top:0px;margin-right:40px;margin-bottom:100px;margin-left:0px;}.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-title-list li:last-child{margin-right:0px;}.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-title-list li .kt-tab-title, .wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{font-size:16px;line-height:1.4em;font-weight:regular;font-style:normal;border-top-width:0px;border-right-width:0px;border-bottom-width:3px;border-left-width:0px;border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;padding-top:8px;padding-right:0px;padding-bottom:8px;padding-left:0px;color:#ffffff;}.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{margin-top:0px;margin-right:40px;margin-bottom:100px;margin-left:0px;}.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-title-list li .kt-tab-title:hover, .wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title:hover{border-color:#ee690c;color:#ffffff;}.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-title-list li.kt-tab-title-active .kt-tab-title, .wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .kt-tabs-accordion-title.kt-tab-title-active .kt-tab-title{border-color:#ee690c;color:#ffffff;background:rgba(255,255,255,0);}@media all and (max-width: 1024px){.kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .wp-block-kadence-tab{border-top:0px solid transparent;border-right:0px solid transparent;border-bottom:0px solid transparent;border-left:0px solid transparent;}}@media all and (max-width: 1024px){.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-title-list li .kt-tab-title, .wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{font-size:px;}}@media all and (max-width: 767px){.kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .wp-block-kadence-tab{border-top:0px solid transparent;border-right:0px solid transparent;border-bottom:0px solid transparent;border-left:0px solid transparent;padding-top:60px;}.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-title-list li{margin-right:8px;margin-bottom:8px;}.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{margin-right:8px;margin-bottom:8px;}.wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-title-list li .kt-tab-title, .wp-block-kadence-tabs .kt-tabs-id90178_552af6-cc > .kt-tabs-content-wrap > .kt-tabs-accordion-title .kt-tab-title{font-size:px;}}<\/style>\n<div class=\"wp-block-kadence-tabs alignnone service-related-tabs\"><div class=\"kt-tabs-wrap kt-tabs-id90178_552af6-cc kt-tabs-has-1-tabs kt-active-tab-1 kt-tabs-layout-tabs kt-tabs-tablet-layout-inherit kt-tabs-mobile-layout-tabs kt-tab-alignment-center \"><ul class=\"kt-tabs-title-list\"><li id=\"tab-relatedpractices\" class=\"kt-title-item kt-title-item-1 kt-tabs-svg-show-always kt-tabs-icon-side-right kt-tab-title-active\"><a href=\"#tab-relatedpractices\" data-tab=\"1\" class=\"kt-tab-title kt-tab-title-1 \"><span class=\"kt-title-text\">Related Practices<\/span><\/a><\/li><\/ul><div class=\"kt-tabs-content-wrap\">\n<div class=\"wp-block-kadence-tab kt-tab-inner-content kt-inner-tab-1 kt-inner-tab90178_9d7c74-df\"><div class=\"kt-tab-inner-content-inner\"><style>.kb-row-layout-id90178_b55b06-2e > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90178_b55b06-2e > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90178_b55b06-2e > .kt-row-column-wrap{column-gap:27px;row-gap:var(--global-kb-gap-none, 0rem );padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90178_b55b06-2e > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90178_b55b06-2e > .kt-row-column-wrap{row-gap:var(--global-kb-gap-none, 0rem );grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90178_b55b06-2e > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90178_b55b06-2e alignnone 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-column90178_4c235c-c6 > .kt-inside-inner-col{display:flex;}.kadence-column90178_4c235c-c6 > .kt-inside-inner-col,.kadence-column90178_4c235c-c6 > .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-column90178_4c235c-c6 > .kt-inside-inner-col{row-gap:var(--global-kb-gap-none, 0rem );column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90178_4c235c-c6 > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column90178_4c235c-c6 > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90178_4c235c-c6 > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column90178_4c235c-c6 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90178_4c235c-c6 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90178_4c235c-c6{position:relative;}@media all and (max-width: 1024px){.kadence-column90178_4c235c-c6 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}@media all and (max-width: 767px){.kadence-column90178_4c235c-c6 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90178_4c235c-c6\"><div class=\"kt-inside-inner-col\">\n<article class=\"wp-block-mgw-service-card  c-card c-card-service\"><a href=\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/\" class=\"wp-block-mgw-service-card__link c-card-service__link flex\"><h5 class=\"wp-block-mgw-service-card__heading c-card-service__heading\">Securities Enforcement &amp; Regulatory Counseling<\/h5><\/a><\/article>\n<\/div><\/div>\n\n<\/div><\/div><\/div><\/div>\n<\/div><\/div><\/div>\n<\/div><\/div>\n\n<\/div><\/div>","protected":false},"excerpt":{"rendered":"<p>Wealth Management Compliance &amp; Enforcement The firm\u2019s Wealth Management Compliance and Enforcement team offers sophisticated counsel to financial institutions, broker-dealers, registered investment advisers, and private banks navigating the complex regulatory&#8230;<\/p>\n","protected":false},"author":4,"featured_media":0,"parent":166,"menu_order":0,"template":"","site_tax":[2],"class_list":["post-90178","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>Wealth Management Compliance &amp; 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\/wealth-management-compliance-enforcement\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Wealth Management Compliance &amp; Enforcement - McGuireWoods\" \/>\n<meta property=\"og:description\" content=\"Wealth Management Compliance &amp; Enforcement The firm\u2019s Wealth Management Compliance and Enforcement team offers sophisticated counsel to financial institutions, broker-dealers, registered investment advisers, and private banks navigating the complex regulatory...\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/\" \/>\n<meta property=\"og:site_name\" content=\"McGuireWoods\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/www.facebook.com\/mcguirewoods\" \/>\n<meta property=\"article:modified_time\" content=\"2025-10-17T13:51:45+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2024\/06\/MW-social-media-icon.jpg\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:site\" content=\"@McGuireWoodsLLP\" \/>\n<meta name=\"twitter:label1\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"3 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/\",\"url\":\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/\",\"name\":\"Wealth Management Compliance &amp; Enforcement - McGuireWoods\",\"isPartOf\":{\"@id\":\"https:\/\/www.mcguirewoods.com\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#primaryimage\"},\"image\":{\"@id\":\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#primaryimage\"},\"thumbnailUrl\":\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg\",\"datePublished\":\"2025-08-05T00:55:14+00:00\",\"dateModified\":\"2025-10-17T13:51:45+00:00\",\"breadcrumb\":{\"@id\":\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#breadcrumb\"},\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/\"]}]},{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#primaryimage\",\"url\":\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg\",\"contentUrl\":\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg\"},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\/\/www.mcguirewoods.com\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"Securities Enforcement &amp; Regulatory Counseling\",\"item\":\"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/\"},{\"@type\":\"ListItem\",\"position\":3,\"name\":\"Wealth Management Compliance &amp; Enforcement\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\/\/www.mcguirewoods.com\/#website\",\"url\":\"https:\/\/www.mcguirewoods.com\/\",\"name\":\"McGuireWoods\",\"description\":\"\",\"publisher\":{\"@id\":\"https:\/\/www.mcguirewoods.com\/#organization\"},\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\/\/www.mcguirewoods.com\/?s={search_term_string}\"},\"query-input\":{\"@type\":\"PropertyValueSpecification\",\"valueRequired\":true,\"valueName\":\"search_term_string\"}}],\"inLanguage\":\"en-US\"},{\"@type\":\"Organization\",\"@id\":\"https:\/\/www.mcguirewoods.com\/#organization\",\"name\":\"McGuireWoods\",\"url\":\"https:\/\/www.mcguirewoods.com\/\",\"logo\":{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/www.mcguirewoods.com\/#\/schema\/logo\/image\/\",\"url\":\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/mcguirewoods-logo.svg\",\"contentUrl\":\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/mcguirewoods-logo.svg\",\"width\":506,\"height\":80,\"caption\":\"McGuireWoods\"},\"image\":{\"@id\":\"https:\/\/www.mcguirewoods.com\/#\/schema\/logo\/image\/\"},\"sameAs\":[\"https:\/\/www.facebook.com\/mcguirewoods\",\"https:\/\/x.com\/McGuireWoodsLLP\",\"https:\/\/www.linkedin.com\/company\/mcguirewoods\",\"https:\/\/www.instagram.com\/mcguirewoods_llp\"]}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Wealth Management Compliance &amp; Enforcement - McGuireWoods","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/","og_locale":"en_US","og_type":"article","og_title":"Wealth Management Compliance &amp; Enforcement - McGuireWoods","og_description":"Wealth Management Compliance &amp; Enforcement The firm\u2019s Wealth Management Compliance and Enforcement team offers sophisticated counsel to financial institutions, broker-dealers, registered investment advisers, and private banks navigating the complex regulatory...","og_url":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/","og_site_name":"McGuireWoods","article_publisher":"https:\/\/www.facebook.com\/mcguirewoods","article_modified_time":"2025-10-17T13:51:45+00:00","og_image":[{"url":"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2024\/06\/MW-social-media-icon.jpg","type":"","width":"","height":""}],"twitter_card":"summary_large_image","twitter_site":"@McGuireWoodsLLP","twitter_misc":{"Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/","url":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/","name":"Wealth Management Compliance &amp; Enforcement - McGuireWoods","isPartOf":{"@id":"https:\/\/www.mcguirewoods.com\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#primaryimage"},"image":{"@id":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#primaryimage"},"thumbnailUrl":"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg","datePublished":"2025-08-05T00:55:14+00:00","dateModified":"2025-10-17T13:51:45+00:00","breadcrumb":{"@id":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#primaryimage","url":"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg","contentUrl":"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg"},{"@type":"BreadcrumbList","@id":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/wealth-management-compliance-enforcement\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.mcguirewoods.com\/"},{"@type":"ListItem","position":2,"name":"Securities Enforcement &amp; Regulatory Counseling","item":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/"},{"@type":"ListItem","position":3,"name":"Wealth Management Compliance &amp; Enforcement"}]},{"@type":"WebSite","@id":"https:\/\/www.mcguirewoods.com\/#website","url":"https:\/\/www.mcguirewoods.com\/","name":"McGuireWoods","description":"","publisher":{"@id":"https:\/\/www.mcguirewoods.com\/#organization"},"potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.mcguirewoods.com\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Organization","@id":"https:\/\/www.mcguirewoods.com\/#organization","name":"McGuireWoods","url":"https:\/\/www.mcguirewoods.com\/","logo":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.mcguirewoods.com\/#\/schema\/logo\/image\/","url":"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/mcguirewoods-logo.svg","contentUrl":"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/mcguirewoods-logo.svg","width":506,"height":80,"caption":"McGuireWoods"},"image":{"@id":"https:\/\/www.mcguirewoods.com\/#\/schema\/logo\/image\/"},"sameAs":["https:\/\/www.facebook.com\/mcguirewoods","https:\/\/x.com\/McGuireWoodsLLP","https:\/\/www.linkedin.com\/company\/mcguirewoods","https:\/\/www.instagram.com\/mcguirewoods_llp"]}]}},"taxonomy_info":[],"featured_image_src_large":false,"author_info":{"display_name":"manger","author_link":"https:\/\/www.mcguirewoods.com\/author\/manger\/"},"comment_info":"","_links":{"self":[{"href":"https:\/\/www.mcguirewoods.com\/wp-json\/wp\/v2\/practice\/90178","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.mcguirewoods.com\/wp-json\/wp\/v2\/practice"}],"about":[{"href":"https:\/\/www.mcguirewoods.com\/wp-json\/wp\/v2\/types\/practice"}],"author":[{"embeddable":true,"href":"https:\/\/www.mcguirewoods.com\/wp-json\/wp\/v2\/users\/4"}],"version-history":[{"count":0,"href":"https:\/\/www.mcguirewoods.com\/wp-json\/wp\/v2\/practice\/90178\/revisions"}],"up":[{"embeddable":true,"href":"https:\/\/www.mcguirewoods.com\/wp-json\/wp\/v2\/practice\/166"}],"wp:attachment":[{"href":"https:\/\/www.mcguirewoods.com\/wp-json\/wp\/v2\/media?parent=90178"}],"wp:term":[{"taxonomy":"site_tax","embeddable":true,"href":"https:\/\/www.mcguirewoods.com\/wp-json\/wp\/v2\/site_tax?post=90178"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}