August 13, 2020

Volume X, Number 226

Michael T. Dyson

Mike Dyson is a partner in the firm’s Washington, D.C. office. He focuses his practice on securities litigation, enforcement, regulation, and compliance.

Prior to joining K&L Gates, Mr. Dyson was senior counsel to the Financial Industry Regulatory Authority (FINRA). He was responsible for reviewing regulatory and compliance referrals by the Market Regulation and Enforcement staff against broker-dealers and/or brokers involving violations of ethical rules and federal securities laws; rules and regulations identified in the course of FINRA cycle examinations, audits, industry sweeps, and customer complaints; termination notices and investigations by the Office of Fraud Detection and Market Intelligence; tips to the Office of the Whistleblower; special investigations; and making a determination, based on an analysis of the sufficiency of evidence and applicable law, whether FINRA should pursue formal disposition of the recommended charges. 

Articles in the National Law Review database by Michael T. Dyson