Nellie R. Dunderdale

Nellie Dunderdale helps solve regulatory and compliance issues for banking and financial services clients, including those operating in the FinTech ecosystem looking to bring their products and services to market. To help clients navigate their unique challenges, Nellie applies a regulatory perspective gained while serving with a federally authorized self-regulatory organization tasked with providing industry oversight while promoting innovation.

She further draws on her knowledge of federal securities laws, as well as independent agency rules, to help companies develop novel financial products and platforms with respect to cryptocurrency and blockchain. Her experience in this space includes advising broker-dealers, investment advisers, alternative trading systems, private funds, and others working towards registering in these capacities.

Prior to joining DWT, Nellie served at the Financial Industry Regulatory Authority (FINRA) as an attorney in the Department of Enforcement, where she resolved matters on behalf of FINRA, enforcing the applicable securities rules, negotiating settlements, and advocating FINRA's position. She also worked on FINRA examinations and investigations, reviewing for violations of federal securities laws and FINRA rules and regulations, investigating potentially manipulative activity in the securities markets, and presenting findings to FINRA's Department of Enforcement and the Securities and Exchange Commission.