About Paul McCurdy

Paul McCurdy is known for the long-standing relationships he has with his financial services industry clients. He provides creative and efficient counsel to retail, clearing and direct access broker-dealers, investment banking, advisory firms and family offices. Paul focuses on strategically navigating both opportunities and challenges his clients face, particularly when it comes to regulatory compliance, enforcement, corporate and litigation matters.

A trusted business collaborator with his clients

Steeped in decades of experience, Paul listens to and understands the unique needs of his clients. His responsiveness and client-first approach fuels his ability to help them achieve their business goals.

Paul has particular experience advising broker-dealer clients with a variety of matters, including business strategy, investigations, examinations, enforcement proceedings, and state and federal registration. The depth and breadth of his regulatory knowledge includes anti-money laundering, trading, customer complaints, insider trading, clearing agreements, supervision, regulatory capital, short-selling and finder arrangements. Throughout his career, Paul has counseled and defended witnesses in regulatory matters before the Securities and Exchange Commission (SEC), the US Department of Justice, the Financial Industry Regulatory Authority (FINRA) and other government agencies. He also regularly represents senior securities industry executives in employment agreement negotiations.

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Practice Focus

  • Broker-dealer regulation and compliance
  • Formation and registration issues
  • Regulatory investigations, arbitrations and enforcement actions
  • Anti-money laundering rules
  • Market abuse and trade disputes
  • Applications, compliance process development and business agreements for broker-dealer start-ups

Representative Experience

  • Represented domestic and international broker-dealers in complex AML investigations. *
  • Represented a fully disclosed clearing firm in an arbitration resulting in the recovery of 100 percent of claims plus attorneys’ fees. *
  • Represented clients in dozens of NYSE hearing panel decisions and FINRA letters of acceptance, waiver and consent. *
  • Represented an international broker-dealer in a mutual fund B-share investigation. *
  • Represented former NYSE directors in litigation with the New York Attorney General. *
  • Represented numerous broker-dealers in 15c3-1, 15c3-3 and supervisory investigations. *
  • Represented retail firms in dozens of regulatory investigations and arbitrations. *
  • Represented NYSE specialist in highly politicized, acrimonious 5-week SEC trial. *
  • Represented electronic platform broker-dealer in cutting-edge, high-profile SEC Reg SHO investigation. *
  • Represented electronic platform broker-dealers in bet-the-company TRO litigation and arbitration. *
* Experience prior to Katten

Publications

  • The Uncertain State of FINRA Arbitration | Practical Law The Journal: Litigation and Practical Law The Journal: Transactions & Business
    February/March 2015

Presentations and Events

  • Legal Executive Institute's 26th Annual Marketing Partner Forum
    Moderator | The Halycon Days of Financial Services
    January 24, 2019
  • Legal Executive Institute's 24th Annual Marketing Partner Forum
    Moderator | The Perfect Pitch: From Coaching to Collaboration and Commitment
    January 25, 2017
  • Legal Executive Institute's 22nd Annual Marketing Partner Forum
    Presenter | From Origination to Collaboration: Establishing the Right Business Development Culture in Your Firm
    January 22, 2015
  • Legal Executive Institute's 21st Annual Marketing Partner Forum
    Panelist | Strategies for Taking Business Development to the Next Level
    January 24, 2014
  • NPAC Annual International Conference on Arbitration Matters
    Panelist | U.S. Arbitration Case Trends
    March 16, 2013