JORDAN (GREENSTEIN) SCHWARTZ is a managing associate and member of Sidley’s global Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for Financial Services Regulation, and was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. Her practice focuses primarily on representing individual and corporate clients in connection with investigations and enforcement actions by the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Department of Justice (DOJ), the New York Stock Exchange (NYSE) and state securities enforcement authorities. Jordan has also conducted internal investigations related to regulatory inquiries, matters potentially subject to regulatory scrutiny and whistleblower complaints.
Recent matters include:
- Representing a major financial institution in an SEC investigation related to the firm’s transaction supervision.
- Representing employees of a national broker dealer as part of an SEC investigation into sales practices and supervision of registered representatives.
- Representing multiple financial institutions in investigations by the Massachusetts Securities Division related to registration of representatives and supervisors.
- Representing a major financial institution in a FINRA investigation related to the suitability of product sales and supervision.
- Representing a major financial institution in a NYSE investigation of potential Regulation SHO violations.
Jordan also maintains an active pro bono practice, regularly providing representation in immigration proceedings to survivors of domestic violence.