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.
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
* Experience prior to Katten
News
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August 17, 2020
Publications
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Weekly
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March 22, 2021
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October 19, 2020
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The Uncertain State of FINRA Arbitration | Practical Law The Journal: Litigation and Practical Law The Journal: Transactions & BusinessFebruary/March 2015
Presentations and Events
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PanelistMay 6, 2021
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Panelist | Hot Topics in Securities Regulatory Enforcement.October 15, 2020
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Legal Executive Institute's 26th Annual Marketing Partner ForumModerator | The Halycon Days of Financial ServicesJanuary 24, 2019
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Legal Executive Institute's 24th Annual Marketing Partner ForumModerator | The Perfect Pitch: From Coaching to Collaboration and CommitmentJanuary 25, 2017
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Legal Executive Institute's 22nd Annual Marketing Partner ForumPresenter | From Origination to Collaboration: Establishing the Right Business Development Culture in Your FirmJanuary 22, 2015
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Legal Executive Institute's 21st Annual Marketing Partner ForumPanelist | Strategies for Taking Business Development to the Next LevelJanuary 24, 2014
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NPAC Annual International Conference on Arbitration MattersPanelist | U.S. Arbitration Case TrendsMarch 16, 2013