Berry, Rodney T.

Gail Bernstein is a special counsel in the firm's Securities Department, a member of the Broker-Dealer Compliance and Regulation and Derivatives and Futures Practice Groups and a member of the Consumer Finance Protection Bureau and Dodd-Frank Whistleblower Working Groups. She joined the firm in 1990 and was a partner with the firm's Broker-Dealer Group from 1997 to 1998, when she began an extended leave of absence. She returned to the firm in 2008.

Practice

Ms. Bernstein’s practice focuses on US financial regulatory reform and on securities law and broker-dealer regulation. She regularly counsels clients on the implications of the Dodd-Frank Act and also counsels SEC registrants and other financial organizations on a broad range of regulatory matters, including compliance with SEC and SRO rules. She has advised firms about sales practice requirements, trading issues and order handling procedures. She has designed comprehensive compliance policies and supervisory procedures and counseled clients during their implementation. She has also represented clients in governmental investigations and internal reviews.