Seward & Kissel LLP Logo
  • PEOPLE
  • PRACTICES
  • NEWS & EVENTS
  • PUBLICATIONS
  • About Us
  • Recognition
  • Careers
  • Blogs
  • Compliance Services

Broker-Dealers

image_pdfPrint Page
  • Overview
  • Attorneys
  • News
  • Publications
  • Experience
  • Events & webinars
February 3, 2025
Peter Shea Joins Seward & Kissel’s Investment Management Group as Partner
July 25, 2024
Casey Jennings Quoted in Ignites Article Titled, “LPL Pockets ‘Vast Majority’ of Sweep Returns: Lawsuit”
May 10, 2024
Partner Philip Moustakis Quoted in Hedge Fund Law Report Article Titled, “SEC Charges Broker-Dealer Over Information Barrier Failures”
January 2, 2024
Rob Van Grover discusses contracts, confidentiality provisions, consent and corporate governance during AIMA PFAR podcast
November 22, 2023
Daniel Bresler Quoted in FinOps Report Article Titled, “SEC’s Private Fund Adviser Rules: Tackling the Dos, Don’ts, and Maybes”
September 26, 2023
Seward & Kissel Representing Marex Group on its Acquisition of Cowen’s legacy prime brokerage business
May 11, 2023
Seward & Kissel partners quoted in Hedge Fund Law Report article on off-channel communications
August 2, 2019
Seward & Kissel Advises First Long Island Investors in its Sale of a Passive Minority Stake to Kudu Investment Management
February 1, 2019
Overstock’s tZERO Partners with Dinosaur Financial Group LLC to Launch First Security Token Trading Platform
October 12-14, 2017
Seward & Kissel Partners Paul Clark and Marlon Paz to Teach FinTech & Social Media Regulations Course at UC Berkeley School of Law
September 21, 2016
33 Seward & Kissel attorneys are listed in Super Lawyers 2016 New York-Metro Edition
July 18, 2016
Partner Paul Clark is quoted and the Firm mentioned in a S&P Market Intelligence article titled, “How a Troubled Bank Used Listing Service Deposits to Avoid Failure.”
September 22, 2015
34 Seward & Kissel attorneys are listed in Super Lawyers 2015 New York-Metro Edition
August 18, 2015
Partner Paul Clark is quoted and the Firm mentioned in an American Banker article titled, “FDIC Gets Earful Over Insurance Records.”
July 30, 2015
Seward & Kissel’s Private Funds Forum was the focus of a Hedge Fund Law Report article titled, “Seward & Kissel Private Funds Forum Highlights Key Trends in Fund Structures (Part Two of Two).”

Attorney Advertising

Disclaimer

Privacy Policy


Notice to California Residents

New York Office

One Battery Park Plaza
New York, NY 10004

Phone (212) 574-1200
Fax (212) 480-8421

Washington, D.C. Office

901 K Street, NW
Washington, DC 20001

Phone (202) 737-8833
Fax (212) 480-8421

Contact Us

General/Media Inquiries – info@sewkis.com
Legal Recruiting – recruiting@sewkis.com
Staff Recruiting – hr@sewkis.com

Join Our Mailing List

© 2025 Seward & Kissel LLP