January 27, 2023

Volume XIII, Number 27

Paul McCurdy

Paul McCurdy is known for the long-standing relationships he has with his financial services industry clients. He provides creative and efficient counsel to retail, clearing and direct access broker-dealers, investment banking, advisory firms and family offices. Paul focuses on strategically navigating both opportunities and challenges his clients face, particularly when it comes to regulatory compliance, enforcement, corporate and litigation matters.

A trusted business collaborator with his clients

Steeped in decades of experience, Paul listens to and understands the unique needs of his clients. His responsiveness and client-first approach fuels his ability to help them achieve their business goals.

Paul has particular experience advising broker-dealer clients with a variety of matters, including business strategy, investigations, examinations, enforcement proceedings, and state and federal registration. The depth and breadth of his regulatory knowledge includes anti-money laundering, trading, customer complaints, insider trading, clearing agreements, supervision, regulatory capital, short-selling and finder arrangements. Throughout his career, Paul has counseled and defended witnesses in regulatory matters before the Securities and Exchange Commission (SEC), the US Department of Justice, the Financial Industry Regulatory Authority (FINRA) and other government agencies. He also regularly represents senior securities industry executives in employment agreement negotiations.

Articles in the National Law Review database by Paul McCurdy