James Dombach

As co-lead for the securities regulatory business line of the Banking and Financial Services practice group, James' practice focuses on providing regulatory guidance to exchanges, trading and advisory firms, and related individuals, and assisting those entities and individuals in regulatory inquiries. He regularly advises trading platforms, broker-dealers, clearing agencies, and other clients on a variety of compliance, regulatory, and transactional matters, and interfaces with the staff of the SEC and other regulatory bodies on behalf of clients. His work involves complex trading and markets issues, as well as the defense of trading-related SEC and SRO investigations.