Mayer Brown appoints a securities enforcement Partner in Washington DC
Global law firm Mayer Brown has announced the appointment of Tim Nagy at the firm's Washington DC office as a partner in its Litigation & Dispute Resolution and Financial Markets Regulatory & Enforcement practices.
Tim Nagy advises financial institutions, particularly broker-dealers, on compliance and enforcement matters. He is a former regulator with over two decades of experience in the securities industry.
He has a deep understanding of the US capital markets and the rules governing market participants, with a focus on customer order handling rules, anti-manipulation rules, fair pricing and mark-up/mark-down rules, best execution requirements, SEC and self-regulatory organizations (SRO) rules affecting proprietary trading operations, market structure issues (Regulation NMS), and Rule 15c3-5 (Market Access Rule).
Nagy spent nine years in the Financial Industry Regulatory Authority's (FINRA) Department of Market Regulation, negotiating settlements and representing the department in disciplinary proceedings. He brings great expertise and knowledge in the field of compliance and enforcement of the securities industry.
Welcoming Nagy to the firm, Reginald Goeke, co-leader of Mayer Brown's Litigation & Dispute Resolution practice, said that Nagy's experience will be important to clients facing regulatory and enforcement challenges.
Mayer Brown's Financial Markets Regulatory & Enforcement practice specialises in helping financial market participants navigate regulatory and enforcement issues.
The practice works with a variety of government agencies, including the Department of Justice, the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Commodity Futures Trading Commission, the National Futures Association, and state securities regulators, and provides clients with tailored, industry-informed solutions to their legal challenges.