janvier 18 2023

Mayer Brown adds securities enforcement lawyer


Mayer Brown announced today that Tim Nagy has joined the firm’s Washington DC office as a partner in its Litigation & Dispute Resolution and Financial Markets Regulatory & Enforcement practices.

Tim advises financial institutions, particularly broker-dealers, on compliance and enforcement matters. He is a former regulator with more than 20 years of experience in the securities industry. Tim has extensive knowledge of the US capital markets and the rules governing market participants, with a focus on customer order handling rules, anti-manipulation rules, fair pricing and mark-up/mark-down rules, best execution requirements, SEC and self-regulatory organizations (SRO) rules affecting proprietary trading operations, market structure issues (Regulation NMS), and Rule 15c3-5 (Market Access Rule). Earlier in his career, he spent nine years in the Financial Industry Regulatory Authority’s (FINRA) Department of Market Regulation, negotiating settlements and representing the department in disciplinary proceedings.

“We’re pleased to have Tim join our firm,” said Reginald Goeke, co-leader of Mayer Brown’s Litigation & Dispute Resolution practice. “We know that his experience will be important to clients facing regulatory and enforcement challenges.”

Mayer Brown’s Financial Markets Regulatory & Enforcement practice serves the regulatory and enforcement needs of financial market participants, providing creative and practical solutions informed by industry knowledge. The practice regularly interacts with the DOJ, SEC, FINRA, CFTC, NFA and exchanges as well as state securities regulators.


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