Jennifer D. Morton is counsel in the Financial Institutions Advisory & Financial Regulatory practice.
Her practice includes advising broker-dealers on the full range of regulatory, transactional, trading and markets issues. She has participated in the formation of brokerage firms and her responsibilities include the representation of the firm’s underwriting clients under the rules of the Financial Industry Regulatory Authority Inc. (FINRA) and the state securities laws. She also advises on the formation and structuring of private wealth management businesses.
Jennifer represents prominent banks and broker-dealers, including Citi Private Bank and Citigroup Global Markets, Bank of America Merrill Lynch, J.P. Morgan Wealth Management, Morgan Stanley Wealth Management and Barclays.
Prior to joining the Financial Institutions Advisory & Financial Regulatory Group, Jennifer was a member of the firm’s Capital Markets Group.
Formation and expansion of broker-dealers
- Formation, registration and expansion of broker-dealers, ATS and clearing agencies, including entities focused on retail brokerage and private wealth, investment banking advisory, private placements and secondary placement of private securities, research distribution, and secondary trading
- Citi Private Advisory, LLC in connection with its dual-registration as a broker-dealer with the SEC and approval of its new membership application with FINRA
Advice to financial institutions involved in capital markets, or merger and acquisition transactions
- Merrill Lynch in its acquisition by Bank of America
- Thomson Reuters in its acquisition of REDI
- Itaú in its merger with Unibanco
- Skybridge Capital in connection with the indirect change of ownership and control of Hastings Capital LLC, its broker-dealer subsidiary
- Credit Suisse Securities in the sale of its U.S. and Latin American Private Wealth businesses to Wells Fargo Advisors, LLC and Morgan Stanley Smith Barney LLC, respectively
- Barclays in the outsourcing of its clearing, custody and settlement of its private wealth business to Pershing LLC
- Goldman Sachs (Asia) L.L.C. and Credit Suisse Securities (USA) LLC as lead underwriters in connection with the initial public offering of Weibo Corporation
- Goldman Sachs, Deutsche Bank Securities and Morgan Stanley as underwriters in connection with a public offering of shares of common stock of Catalent, Inc
- Underwriters, before FINRA, in various registered offerings, including the initial public offering of Santander (Brasil) S.A.
- Ongoing representation of major financial institutions in connection with routine examinations and investigations performed by the U.S. Securities and Exchange Commission and FINRA
Fordham University School of Law
- Editor-in-Chief, Fordham International Law Journal
Université Paris IV-La Sorbonne
- Member, American Bar Association: Committee on Federal Regulation of Securities, Subcommittee on FINRA Corporate Finance Rules, Subcommittee on Trading & Markets, and Committee on State Regulation of Securities
- Member, Securities Industry Association, Legal and Compliance Division
Awards & Accolades
- Given numerous presentations to global financial institution clients on Regulation M, FINRA Corporate Financing Rules, compensation, conflict of interest rules and SIFI supervision
- Participated in webinars on FINRA’s rules and regulations
- Contributed to James Bartos, United States Securities Law: A Practical Guide, 3rd Edition