Laura S. Pruitt
Laura S. Pruitt is a partner with Alston & Bird’s Financial Services & Products Team who counsels broker-dealers, investment advisers and other market participants on securities law and market regulation issues, with particular emphasis on broker-dealer registration and compliance issues, alternative trading systems and equity trading, derivatives, investment adviser regulation and transfer agent, data privacy and anti-money laundering rules.
Laura also represents a variety of clients before the Securities and Exchange Commission and self-regulatory organizations in connection with regulatory investigations and enforcement actions. In addition, she has conducted independent compliance reviews in connection with the settlement of SEC enforcement actions.
Laura spent several years at the SEC in Washington, D.C., both as senior counsel in the Office of the General Counsel (both as a litigator defending the commission and its personnel in federal court actions and in providing counsel to the general counsel, and others, in connection with commission rulemakings and enforcement actions) and as special counsel in the Office of the Chief Counsel in the Division of Market Regulation (now the Division of Trading & Markets).
Washington, District of Columbia 20004-1404