Susan L. Merrill

Susan Merrill assists broker-dealers, investment advisers, financial institutions and Fortune 500 companies across the U.S. in internal investigations, investigations before the Securities and Exchange Commission and FINRA, and in enforcement matters generally. Susan also advises clients on regulatory compliance matters.

Susan is the former head of enforcement at FINRA, where she oversaw the establishment and development of its enforcement program. She joined FINRA from her position as enforcement chief at New York Stock Exchange Regulation when it merged with the NASD in 2007. Before she became a regulator, Susan was in private practice for 17 years and represented clients in some of the highest-profile matters on Wall Street. 

Susan served as a judicial clerk for the Hon. Francis Van Dusen of the United States Court of Appeals of the Third Circuit from 1986 to 1987.

 
AWARDS AND HONORS

• Executive Articles Editor, Brooklyn Law Review
• Recipient of the William Payson Richardson Scholarship

 
ADMISSIONS

• Admitted to practice in New York

EDUCATION

• University of Maryland, Bachelor of Arts, cum laude, 1979
• Brooklyn Law School, Juris Doctor, summa cum laude, 1986