Mark D. Knoll

Principal

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  • Fax 212.425.9337
Mark D. Knoll
Mark D. Knoll

“I find the financial markets endlessly fascinating.  In my practice, I draw on my experience both as outside and in-house counsel to provide advice and solutions that solve current problems and avoid future ones.”

Mark Knoll consistently delivers creative and custom legal solutions to local, regional, national and international financial institutions and broker-dealers, businesses and individual clients.  He is known for his true depth of practice, far reaching institutional expertise and practical, tangible results.  He is a member of the firm's Securities Litigation and Regulation practice group, providing advice and counseling to broker-dealer, investment adviser, futures and other financial services firms in regulatory enforcement, compliance and litigation matters.

In his regulatory enforcement practice, Mark has represented clients in a variety of industry “sweeps”, including those related to Regulation SHO, prospectus delivery, trade volume advertising and regulatory disclosures on Forms U4 and U5.  He has also defended clients in matters relating to auction rate securities, complex and structured products, high frequency and algorithmic trading, OATS reporting, net capital compliance, selling away, unregistered “finder” activity, email retention and supervision, and the dissemination of research.  In addition, Mark has directed numerous internal investigations for his financial services clients. 

In his litigation practice, Mark represents issuers and financial institutions in a wide variety of substantial litigation matters, including individual securities fraud and class actions.  His current litigation practice is largely devoted to defending broker-dealers and individual registered representatives in FINRA arbitration proceedings.

Most of Mark’s practice is dedicated to counseling broker-dealers, registered investment advisors, futures commission merchants and other financial firms with respect to registration and regulatory reporting issues.  He is a recognized expert in FINRA’s regulatory disclosure and reporting regime, including Rule 4530, CRD and BrokerCheck, and Forms U4, U5 and BD.  He has also counseled investment advisor clients concerning required disclosures under Form ADV, and FCMs with respect to their disclosure obligations under NFA rules.  Mark also guides clients through FINRA’s Continuing Membership Application process in connection with business and product expansions. 

Mark assists his clients in managing regulatory examinations.  He has developed protocols and relationships to cost effectively review requested documents, including emails, in connection with both routine and for-cause examinations.      

Prior to joining Bressler, Mark served as Director and Counsel to the Regional Head of Compliance for the Americas at Credit Suisse Securities (USA) LLC.  From 2004 to 2008, Mark was a member of the Securities Litigation practice group at Morgan Lewis & Bockius, LLP in New York City.  From 2000 to 2004, he was a member of the Debtor/Creditor practice group focused on financial services litigation at McCarter & English in Newark, New Jersey.  After graduation, Mark clerked for the Honorable Barbara Byrd Wecker, JAD of the New Jersey Superior Court, Appellate Division.

  • January 3, 2012Bressler Elects New Principals

    Bressler, Amery & Ross, P.C. is pleased to announce that Angela A. Turiano and Mark D. Knoll have become Principals of the firm. Angela A. Turiano will continue her … Read more