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Broker-Dealer/Futures Regulatory Compliance & Advice

This practice area is headed by Ira Lee Sorkin who served in senior positions at the U.S. Attorney’s Office in New York (Deputy Chief of the Criminal Division for the Southern District), at the Securities & Exchange Commission (Director of the SEC’s New York office) and as the Chief Legal Officer of a member firm of the New York Stock Exchange (Nomura Holding America, Inc., and Nomura Securities International, Inc.).
With Mr. Sorkin’s leadership, Mintz & Gold has extensive experience in advising financial firms, primarily broker-dealers, on how to comply with the myriad of financial regulations issued by the Securities and Exchange Commission, Chicago Board Option Exchange, and Chicago Mercantile Exchange, as well as other regulators.

For more information, please contact Ira Lee Sorkin