Nicholas A.J. Wendland represents and advises financial institutions in navigating securities, commodities and exchange regulations. Drawing on his extensive experience at FINRA and the New York Stock Exchange (NYSE), as well as in private practice, Nicholas assists his clients in understanding and complying with securities and commodities laws, as well as regulations and rules set by self-regulatory organizations. Nicholas’ in-depth understanding of complex financial products, global regulations, and the business and operation requirements of his clients allows him to develop successful and creative solutions while providing concrete, practical guidance.
Nicholas has provided guidance for business and trading activities worldwide, and has developed, implemented and maintained global processes and procedures designed to ensure legal and regulatory compliance for business lines in cash equities, options, futures, fixed income, foreign exchange, and swaps in numerous jurisdictions and markets. Nicholas also has significant derivatives and broker-dealer experience.
