BIG LAW EXPERIENCE, SMALL LAW ATTENTION

SECURITIES

Ms. La Barbera began her legal career as an attorney with the SEC’s Division of Market Regulation, now known as Trading and Markets, in Washington, D.C.  In that position, she focused on the SEC’s financial, operational and risk management rules governing broker-dealers, including broker-dealerbooks and records, net capital and customer protection rules.  Ms. La Barbera worked closely with Self-Regulatory Organizations, the Securities Investors Protection Corporation (SIPC), and a variety of market participants in interpreting and administering various SEC rules as well as internal rules of those organizations.  While at the SEC, Ms. La Barbera trained SEC examiners (OCIE) on the SEC’s financial responsibility rules and SRO suitability rules.

In private practice, Ms. La Barbera has represented and defended securities firms in regulatory inquiries, examinations and enforcement proceedings, as well as in private customer disputes, litigation and arbitration proceedings.  Ms. La Barbera also has assisted investment advisers to mutual funds and hedge funds with regulatory compliance matters, including providing legal opinions and conducting internal investigations.