Ariel Gursky focuses her practice on representing broker-dealers, investment advisers, and their employees in US Securities and Exchange Commission (SEC), self-regulatory organization, and state securities commission investigations, and conducting internal investigations for such firms. She has particular experience in assisting broker-dealers in evaluating whether to self-report matters under FINRA Rule 4530(b), issues involving electronic trading and trade reporting obligations, and analyzing large data sets in the context of an enforcement investigation or settlement. Ariel acts as counsel to several broker-dealer self-reporting committees, and also has experience representing broker-dealers and individuals in all phases of the FINRA arbitration process.
Ariel is a lead author of the firm’s annual Year in Review outline that highlights key SEC and FINRA examination and enforcement developments and cases. She also frequently speaks on these topics at industry seminars and broker-dealer CLE programs.
Ariel's pro bono practice includes successfully securing asylum for individuals seeking refugee status in the United States and obtaining tuition reimbursement for a student under The Rehabilitation Act of 1973.
An active participant in several firm initiatives, Ariel is a member of the New York office’s Recruiting Committee and IT Committee. She previously served as chair of the New York office Associates Committee and as a member of the firm’s Global Committee on Associates.
Recent representations of broker-dealers, investment advisers and their employees in SEC and FINRA examinations and investigations include matters in the following areas:
Routine areas of regulatory and compliance counseling include:
Recent arbitration representations in the securities and investments area include:
Member, Law Firm of the Year, Securities Regulation, US News/Best Lawyers – Best Law Firms (2019)