Schulte Roth & Zabel

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Firm Overview

Instead of trying to be everything to everybody, we’ve made a name for ourselves by delivering what our clients need most: in-depth, hands-on legal counsel throughout the financial services sector — and beyond.

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Firm News

There’s a lot going on at Schulte — we’re wrapping up high-profile matters, welcoming talented new lawyers, speaking on issues that affect our clients, and more.

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Pro Bono

Throughout our history, Schulte has provided comprehensive pro bono services to local and national nonprofit organizations. Today, we serve more than 50 nonprofits and work to advance a variety of social justice causes.

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Diversity, Equity and Inclusion

Inside the firm, we work hard to attract diverse, talented lawyers and encourage their career growth and advancement. And outside the office, we’re active in volunteer drives and local initiatives that support underrepresented groups.

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Alumni

If you’re a current or former Schulte lawyer, join our Alumni Network on LinkedIn to stay connected with old friends, make new contacts, and share your successes, ideas and insights.

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Social Responsibility

We take doing “good work” seriously — whether we’re talking about our high ethical standards or the way in which we foster a positive and inclusive culture for our personnel and support local communities.

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Offices

  • New York

    • 919 Third Avenue
    • New York, NY 10022
    • United States of America
      • +1 212.756.2000 Phone
      • +1 212.593.5955 Fax
    View Details

  • Washington, DC

    • 555 13th Street, NW, Suite 6W
    • Washington, DC 20004
    • United States of America
      • +1 202.729.7470 Phone
      • +1 202.730.4520 Fax
    View Details

  • London

    • One Eagle Place
    • London SW1Y 6AF
    • United Kingdom
      • +44 (0) 20 7081 8000 Phone
      • +44 (0) 20 7081 8010 Fax
    View Details

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Business & Finance

Broker-Dealer Regulatory & Enforcement

Few firms can offer a practice with the size and depth of experience as our Broker-Dealer Regulatory & Enforcement Group. Our team of lawyers is dedicated entirely to this area, providing regulatory and compliance advice to broker-dealers and other financial services firms and handling SEC and SRO examination and enforcement matters. We also assist banks and hedge funds in their dealings with broker-dealers and act as regulatory counsel in connection with acquisitions involving broker-dealers. We often collaborate across practices, including with our white collar defense & government relations, bank regulatory and securities litigation (‘33 Act) practices. This combination of superior knowledge and experience bolsters both the size and services we provide to our clients.

Our Work

We represent many of the industry’s most significant market participants and are well known for representing leading dark pool operators, high frequency trading firms, prime brokers and correspondent clearing firms. We have also represented several large broker-dealers in connection with parallel criminal and regulatory investigations and have substantial experience representing associated persons of broker-dealers in connection with a broad range of criminal and civil inquiries, including insider trading, manipulative trading, spoofing/layering, valuation and mismarking.

High Frequency Trading

The SEC, FINRA and various other regulators, responding to political and public sentiment, have spent considerable efforts investigating high frequency trading strategies, largely without success. We represent some of the largest HFT firms and have helped them avoid significant enforcement actions.

Dark Pool SEC Investigations

Dark pools are alternative trading systems that do not display quotations in the Consolidated Quotation System. We have had significant involvement in several dark pool enforcement matters and numerous smaller inquiries that resulted from targeted enforcement efforts in this space.

Resources

Publications

Schulte Lawyers Author 2020 Edition of Insider Trading Law and Compliance Answer Book

Firm News

U.S. News — Best Lawyers ‘Best Law Firms’ Recognizes Schulte as a Leading Law Firm in 25 Practice Areas

Firm News

Schulte Recognized as a Leading Firm by Chambers USA

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Alerts

SEC Expands FINRA Oversight of Proprietary Trading Firms

September 6, 2023

On Aug. 23, 2023, the US Securities and Exchange Commission (“Commission”) adopted amendments[1] (“Amendments”) to the Securities Exchange Act of 1934 (“Exchange Act”) to require certain SEC-registered dealers that...

Firm News

SRZ Recognized as a Leading Law Firm by Chambers USA 2023

June 1, 2023

Chambers USA recognizes Schulte Roth & Zabel as a leading law firm, with strong positioning and expanded presence across practices and individuals in 2023 rankings. Marking a year of significant growth, SRZ received its first...

Firm News

SRZ Shortlisted for 2023 IFLR Americas Awards

March 23, 2023

Schulte Roth & Zabel was recently shortlisted in the “Financial Services Regulatory Team of the Year” and, for work on the Commonwealth of Puerto Rico Plan of Adjustment, the “Restructuring Deal of the Year”...

Lawyers

Related

  • Business & Finance

    Investment Management

    That counsel is bolstered with knowledge from every practice area of our firm — from tax and M&A to intellectual property, employment law and litigation — so your fund is covered from every angle. With proven business acumen and financial expertise,...

  • Litigation

    Litigation

    Our unparalleled team features both leading lawyers focused on general litigation and others in highly specialized areas, including antitrust; private securities litigation, including class actions and derivative suits; shareholder activism, proxy...

  • Business & Finance

    Regulatory & Compliance

    Our regulatory & compliance practice consists of more than 50 lawyers, including over 30 partners, all with extensive regulatory and compliance experience and many of whom have prior experience working at the U.S. Securities and Exchange Commission (...

  • Litigation

    Securities Enforcement

    Our securities enforcement practice and lawyers have been recognized by industry and ranking publications including Chambers USA, Benchmark Litigation, U.S. News – Best Lawyers in its “Best Law Firms” listings for securities litigation, and...

  • Litigation

    White Collar Defense & Government Investigations

    Our deep bench of lawyers includes experienced trial lawyers who are former federal prosecutors, including chiefs of the Appeals and Major Crimes units in the Southern District of New York, and Assistant United States Attorneys in the Southern...

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