Lesley Fredin McColl

Lesley Fredin McColl advises and represents individuals and entities in a broad range of matters relating to the federal securities laws and other sensitive matters. She represents clients in investigations involving diverse federal and state regulatory agencies and self-regulatory organizations, including the Department of Justice (DOJ), the Federal Reserve Board, the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), state attorneys general, and foreign regulatory agencies. Her expertise encompasses investigations concerning alleged market manipulation, alleged misleading and inadequate disclosures and internal controls, alleged misrepresentations to clients and customers, alleged accounting irregularities, and alleged insider trading. She also advises broker-dealer clients on regulatory compliance issues such as the Market Access Rule, best execution, and Regulation NMS.