“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.
Mark is a member of Bressler's Senior and Vulnerable Investor Group. The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors.
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.
- March 19, 2017SIFMA C&L 2017 Annual Seminar
Bressler, Amery & Ross is a proud Diamond Sponsor of the 2017 SIFMA Compliance and Legal Society Annual Seminar where principals Mark Knoll, Regina Martorana, Alex S… Read more
- February 16, 2017New York Lawyers for the Public Interest 24th Annual Law & Society Award Luncheon
Bressler, Amery & Ross is a proud sponsor of the New York Lawyers for the Public Interest 24th Annual Law & Society Award Luncheon taking place February 16, 2017 at … Read more
- February 2, 2017The Winter 2017 Forum on Regulatory Reporting
The SRO and States Subcommittee of the ABA Securities Litigation Committee is pleased to announce its upcoming program, "The Winter 2017 Forum on Regulatory Reportin… Read more
- May 18, 2016Bressler Seminar: Legal Ethics and the Culture of Compliance in the Era of BYOD & Whistleblowers
On May 18, 2016, Bressler, Amery & Ross, P.C. will host “Legal Ethics and the Culture of Compliance in the Era of BYOD and Whistleblowers.” Principal Mark Knoll wi… Read more
- October 22, 2015SIFMA Social Media Seminar - Compliance Strategies for Social Media
Featured in: Forbes.com, click here for highlights from the panel Mark Knoll will moderate a panel "Compliance Strategies for Social Media - How to Comply?" at the 2… Read more
- May 7, 2015Bressler Seminar: Labor and Employment Law in the Financial Services Industry
On May 7, 2015, Bressler, Amery & Ross, P.C. will host “Labor and Employment Law in the Financial Services Industry.” Principal Jed Marcus will speak on “Ethical I… Read more
- March 15, 2015SIFMA C&L Annual Seminar
Bressler, Amery & Ross is proud to sponsor the SIFMA Compliance and Legal Society Annual Seminar where principals Brian Amery, Andrea Greene, Mark Knoll, Carole Mill… Read more
- October 16, 2013SIFMA Social Media Conference
Mark Knoll will be speaking at the SIFMA Social Media Conference in New York City on October 16, 2013. The seminar will explore the evolving tools of social media an… Read more
- June 5, 2013SIFMA's Compliance and Legal Society Seminar
Mark Knoll will be speaking at SIFMA's Compliance and Legal Society Seminar in St. Louis on June 5, 2013. Click here for more information.… Read more
- May 20, 2013FINRA Annual Conference
Mark Knoll will be speaking at the 2013 FINRA Annual Conference in Washington D.C. on May 20, 2013.… Read more
- April 26, 2013FMA's 2013 Securities Compliance Seminar
On April 26, 2013, Wes Holston and Mark Knoll will be speaking at FMA’s 2013 Securities Compliance Seminar. Wes will be speaking on: "Litigation–The Good, the Bad, … Read more
- May 21, 2012FINRA Annual Conference
Mark Knoll will be a panelist at the FINRA Annual Conference discussing registration and disclosure issues.… Read more
- October 17, 2011Employment Law Issues in Financial Services - Managing Risks
On October 17, 2011, Bressler, Amery & Ross will conduct a seminar to educate key executives and general counsel in the financial services industry of important deve… Read more
- September 27, 2011ABA Securities Litigation SRO Subcommittee Panel - Hot Topics Concerning Registration
Andrew Sidman will speak at the SRO Subcommittee of the ABA Securities Litigation Committee panel presentation addressing hot registration-related issues. The presen… Read more
- January 10, 2018WealthManagement.com Quotes Mark Knoll on New Areas of Focus for FINRA in 2018
Principal Mark Knoll is quoted in the WealthManagement.com article “FINRA Cracks Down on Cryptos, Securities-Backed Lines of Credit” by Diana Britton.… Read more
- January 11, 2017FINRA President and CEO Robert W. Cook Speaks on his “Listening Tour” and New Initiatives
Securities Alert… Read more
- January 4, 2017FINRA Issues 2017 Exam Priorities Letter
Securities Alert… Read more
- August 17, 2016Third Circuit Addresses Definition of "Investment Adviser" for the First Time
Securities Law Alert… Read more
- June 23, 2015New York City Bans the Box
Labor and Employment Law Alert… Read more
- August 8, 2014The Long Compliance Race: To Prepare for Regulatory Changes, Traders Must Think Like a Marathoner and Not a Sprinter
In an industry dominated by speed, where short-term success is dependant on decisions made faster than the blink of an eye, getting traders to focus on the long-term… Read more
- October 25, 2013Securities And Exchange Commission Sanctions Three Investment Advisory Firms For Repeatedly Ignoring Problems With Their Compliance Programs
- October 16, 2013FINRA Issues "Expanded Expungement Guidance" To Arbitrators And Parties
- January 4, 2013FINRA Submits Rule Change to Accept Certain U4 Filings In Lieu Of Corresponding Rule 4530 Filings
- October 10, 2012U.S. Supreme Court Agrees To Hear Arguments On Gabelli Market-Timing Case: Gabelli v. Securities and Exchange Commission
- September 6, 2012California Court of Appeal Holds That Court Must Apply Equitable Standards To Expungement Application. On August 23, 2012, the California Court of Appeal, First Appellate District, held in Lickiss v.
- December 27, 2011FINRA Board of Governors Approves Moving Forward with Arbitration and Expungement Rulemaking Changes
- June 15, 2011ABA Securities Litigation SRO Sub-Committee Panel Discussion on Trying FINRA Disciplinary Proceedings
- June 2, 2011Trying FINRA Disciplinary Proceedings
On June 2, 2011, the ABA Securities Litigation SRO Subcommittee hosted a panel discussion on litigating disciplinary cases brought by FINRA. The panel included Andre… Read more
- March 31, 2011ABA SRO Sub-Committee of Securities Litigation Committee Sponsors Presentation Featuring New FINRA Enforcement Management
- August 1, 2010Navigating the Arbitration Process
- January 18, 2010SEC Announces Policy Statement Concerning Cooperation by Individuals