Sara Raisner, counsel in the firm’s Litigation practice, has wide-ranging experience involving regulatory examination and enforcement matters, investigations, and other complex disputes. Sara previously served as a director with the Financial Industry Regulatory Authority (FINRA), where she led a team of enforcement attorneys and investigators on regulatory matters involving securities fraud, suitability, anti-money laundering surveillance, operational failures, and other violations of federal securities laws.
Before joining FINRA, Sara served as an associate at a global law firm where she represented financial institutions in civil litigation, SEC enforcement matters, and internal investigations.
Regulatory and Investigations
- Representing broker-dealers and public companies in FINRA investigations and other regulatory inquiries concerning potential insider trading, affiliated structured products and other sales practice issues
- Represented a LatAM affiliate of a global financial institution in several internal investigations concerning potential conflicts of interest
- Represented a broker-dealer in FINRA investigation and other related regulatory inquiries concerning broker misconduct
- Represented a hedge fund in SEC investigation concerning potential insider trading
- Represented a large financial institution in its internal investigation following the discovery of significant trading losses at the Chief Investment Office *
- Represented an executive at a global financial services firm in an SEC investigation of alleged price manipulation and misrepresentations with respect to close-end mutual funds *
- Represented a large financial institution in an SEC investigation concerning customer redemptions from a securities lending program *
- Represented several broker-dealers in SEC and FINRA investigations concerning sales practices, reporting obligations and soft dollar programs *
- Represented a major financial institution in FINRA arbitration and state court litigation brought by former LatAm Private Banking client alleging fraud, churning and other trading violations. Successfully compelled state court claims to FINRA arbitral forum.
- Represented two defendant prime brokers in industry-wide litigation filed in state and federal courts alleging manipulative short-sale practices *
- Represented a large financial institution in class-action litigation filed in federal court regarding collective investment trust fees *
*Work prior to Shearman & Sterling LLP
New York University School of Law
- Editorial Managing Editor, Journal of Legislation and Public Policy
City University of New York, Queens College
B.A., summa cum laude
- Queens College Presidential Honors Award
- United States District Court for the Southern District of New York
- United States Court of Appeals for the First Circuit