Ignacio A. Sandoval advises broker-dealers and other securities intermediaries on matters relating to their obligations under federal securities laws and self-regulatory organization rules. Prior to joining Morgan Lewis, he was a special counsel in the Office of Chief Counsel in the SEC’s Division of Trading and Markets. Ignacio’s SEC experience includes matters involving domestic and foreign broker-dealer registration matters, anti-money laundering obligations, alternative trading systems, and high-frequency traders.
Ignacio’s additional experience includes matters relating to the safe harbor from broker status for an issuer’s personnel, statutory disqualifications, transaction confirmations, US clearing agencies and exchanges, transfer agents, clearing agreements, financial responsibility rules and margin, recordkeeping obligations, and the outsourcing of broker-dealer technology and platforms. Ignacio also has experience with issuer listing standards, alternative trading system registrations, and enforcement matters involving broker-dealers, clearing agencies, transfer agents, and derivatives.
American University, Washington College of Law, 2007, J.D.
University of California, Los Angeles, 2003, B.A.
District of Columbia
Awards and Affiliations
Member, Practice Group of the Year, Asset Management, Law360 (2017)