Former FINRA Head of Enforcement Joins WilmerHale

WilmerHale announced that Susan Schroeder, the former head of enforcement at FINRA, rejoined the firm as a partner and vice chair of its securities department. Schroeder advises broker-dealers and other clients investigating potential issues and responding to inquiries from the SEC, self-regulatory organizations and state securities regulators. She also provides counseling on current issues shaping the financial industry, including Regulation BI (Reg BI), as well as shifting financial and operational requirements. For more on Reg BI, see “Present and Former SEC Attorneys Discuss Retail Investors, CAT Implementation, Enforcement Issues, Reg BI and SRO Oversight” (Dec. 12, 2019); and “SEC Chair Defends Regulation Best Interest and Investment Adviser Fiduciary Duty” (Sep. 19, 2019).

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