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Ariel Gursky

Partner

Ariel Gursky focuses her practice on representing broker-dealers, investment advisers, and their employees in US Securities and Exchange Commission (SEC), self-regulatory organization, and state securities commission investigations, and conducting internal investigations for such firms. She has particular experience in assisting broker-dealers in evaluating whether to self-report matters under FINRA Rule 4530(b), issues involving electronic trading and trade reporting obligations, and analyzing large data sets in the context of an enforcement investigation or settlement. Ariel acts as counsel to several broker-dealer self-reporting committees, and also has experience representing broker-dealers and individuals in in all phases of the FINRA arbitration process.

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