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Lanny A. Schwartz
Partner
Mr. Schwartz is a member of our Corporate Department and the Broker-Dealer and Market Regulation practice within our Financial Institutions Group. He advises on securities compliance, regulatory and transactional matters. His clients include major international banks, broker-dealers, securities exchanges and consulting firms.

From 1999 to 2005, Mr. Schwartz was Executive Vice President and General Counsel of the Philadelphia Stock Exchange. Previously, he was Managing Director and Counsel at Bankers Trust Company, concentrating in bank and broker-dealer regulation and investment banking.
Contact
Bar Admissions
  • State of New York
  • State of Pennsylvania
Education
  • B.A., Oriental Studies, University of Pennsylvania, 1976
    • summa cum laude
  • J.D., New York University School of Law, 1983
    • cum laude
Languages
  • Spanish

Recognition

Mr. Schwartz is listed as a leading lawyer in several legal industry publications, including:

  • Chambers USA: America’s Leading Lawyers for Business
  • American Lawyer Media’s The New York Area’s Best Lawyers
  • Woodward/White’s Best Lawyers in America.
Of Note
  • Speaks and writes regularly on securities market structure and regulatory issues
  • Former Member, Adjunct Faculty, Columbia Law School
  • Former Instructor, Wharton Executive Education/NASD Institute for Professional Development
Professional History
  • Partner, 2007-present
  • Counsel, Davis Polk, 2005-2007
  • Executive Vice President and General Counsel, Philadelphia Stock Exchange, 1999-2005
  • Managing Director and Counsel, Bankers Trust Company, 1989-1999
  • Associate, Cleary Gottlieb Steen & Hamilton, London and New York offices, 1985-1989
Publications
  • FINRA Jurisdiction Over Members' Non-Securities Activities | Complinet
    March 26, 2008
  • Ramifications of a More Principles-Based FINRA Rulebook | Complinet
  • In Focus: Ramifications of a More Principles-Based FINRA Rulebook | Complinet
  • Suggestions for Procedural Reform in Securities Market Regulation | Brooklyn Journal of Corporate Finance and Commercial Law, Vol. 1