FacultyFaculty/Author Profile

Sylvia M. Scott

Freeman Freeman & Smiley LLP

Los Angeles, CA, USA


Sylvia M. Scott

Ms. Scott is a partner and head of the securities practice group for the law firm, Freeman, Freeman and Smiley, LLP (FFS), based in Los Angeles and Orange County, California. Ms. Scott has successfully represented numerous individuals and entities in the brokerage, investment advisory and hedge fund communities in enforcement matters before the SEC, FINRA and state regulatory agencies and in private litigation. Another aspect of Ms. Scott's practice includes advising companies regarding private placements, drawing from expertise gained while she served as a staff expert at FINRA in that and other areas. 

Prior to joining FFS, Ms. Scott was Senior Enforcement Counsel at the NASD (now known as FINRA) and an Assistant Director at the SEC's Los Angeles Regional Office.  Ms. Scott is a faculty member of the National Society of Compliance Professionals (NSCP) and in that capacity has been a featured speaker and author on a broad range of topics impacting the broker-dealer, investment adviser and hedge fund sectors. 

Sylvia is a graduate of UCLA Law School and has a bachelor's degree in business administration from Loyola Marymount University.  
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