Mary M. Dunbar counsels clients on broker-dealer and securities market regulation, including compliance, supervision, and reporting issues. She represents clients in SEC and FINRA investigations and disciplinary proceedings, and conducts internal investigations. Mary also advises clients on broker-dealer formation, mergers and acquisitions, and FINRA and exchange membership issues. Mary brings to Morgan Lewis experience as a vice president and deputy general counsel with The Nasdaq Stock Market, Inc., as well as other FINRA and governmental experience.
Mary also has experience assisting firms in self-reporting matters under FINRA Rule 4530(b) and the prior NYSE rule.
Before joining Morgan Lewis in June 2005, Mary was vice president and deputy general counsel of The Nasdaq Stock Market, Inc. She also served in the Office of General Counsel for NASD and NASD Regulation, Inc., which later became FINRA. In total, she has eight years of experience as a lawyer at self-regulatory organizations. Prior to her experience with NASD Regulation, Mary was the acting director and senior counsel for the Office of Legislative and Intergovernmental Affairs at the Commodity Futures Trading Commission. She began her career as a litigation associate for a Washington, DC, law firm. She also served as a staff member for two United States senators.