May 25, 2012

David S. Sieradzki, Partner

  • 202.828.5826
  • david.sieradzki@bgllp.com
  • www.bgllp.com

  • David Sieradzki is a partner in Bracewell & Giuliani LLP's broker-dealer and market regulation practice. His practice focuses on representing broker-dealers, investment advisers and hedge funds in connection with matters arising under federal and state securities laws and self-regulatory organization rules.

    Mr. Sieradzki advises securities firms and their employees on complex sales and trading issues affecting the securities markets. His practice encompasses a wide-range of regulatory issues affecting financial services firms and institutional investors including: equity and fixed-income trading practices; order handling and execution issues; market making; broker-dealer registration; outsourcing; audit trail and trade reporting requirements; and creation and distribution of research reports and other communications with the public. Mr. Sieradzki also advises clients in connection with mergers and acquisitions involving broker-dealers. In addition to regulatory counseling, Mr. Sieradzki represents clients in enforcement proceedings and conducting internal investigations. He has played an important role in matters involving, among other things, specialist trading, market making, agency trading, research, broker-dealer registration and the self-regulatory function of securities exchanges.

  • Bracewell & Giuliani LLP

Articles in the National Law Review database by David S. Sieradzki:

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