FacultyFaculty/Author Profile
Susan L. Merrill

Susan L. Merrill

Sidley Austin LLP

New York, NY, USA


SUSAN MERRILL assists broker-dealers, investment advisers, financial institutions, exchanges and Fortune 500 companies across the U.S. in investigations before the SEC, CFTC, FINRA and state securities regulators. Susan also conducts internal investigations and 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.

Strong leadership on behalf of her clients has earned Susan many accolades from leading publications. Chambers USA noted “The ‘very knowledgeable’ Susan Merrill is praised for the ‘good practical and strategic advice’ which she is able to offer to broker-dealer clients.” Other major awards include: 

Law360’s 25 Most Influential Women in Securities Law: The profile showcases many of the highlights of her career, including having served as the Financial Industry Regulatory Authority’s first head of enforcement and establishing the Credit for Cooperation policy at the New York Stock Exchange.

The Best Lawyers in America – Securities Regulation (2013–2017)

The Legal 500 US - Financial services: litigation (2013–2017)

Chambers USA: America’s Leading Lawyers for Business — Financial Services Regulation: Broker-Dealer (Enforcement) (2013–2017)

Chambers USA: America’s Leading Lawyers for Business — Financial Services Regulation: Broker-Dealer (Compliance) (2012) 

Susan L. Merrill is associated with the following items:
CHB Chapters  CHB Chapters Susan L. Merrill and Nathalie Petritis, Trends in Individual Liability for Compliance Officers: What Leads the Government to Sue a Compliance Person or In-House Lawyer? - Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017, Wednesday, September 27, 2017
Web Segment  Web Segment The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals - Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017, Friday, September 29, 2017
MP3 Audio  MP3 Audio The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals - The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals , Friday, September 29, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals - The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals , Friday, September 29, 2017
On-Demand Web Programs  On-Demand Web Programs Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017, Wednesday, October 04, 2017, New York, NY
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