James Dombach
Partner
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.
Practice Highlights
Regulatory enforcement defense
James has advised firms and individuals in connection with SEC and FINRA reviews and investigations.
Deep knowledge of market structure
James advises broker-dealers on compliance issues related to Reg. NMS, Reg. SHO, and Reg. ATS, among other regulations.
Trusted advisor
Leading securities exchanges, derivatives marketplaces, and broker-dealers have called on James for counsel on regulatory and enforcement matters.
National market system plans*
FINRA and several national securities exchanges*
Leading national securities exchange*
Leading global derivatives marketplace*
Major equity market participant*
Admitted to Practice
- District of Columbia, 2014
- Maryland, 2011
Education
- J.D., Georgetown University Law Center, 2011,
cum laude
- B.S., Elizabethtown College, 2008