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 advisers, 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 adviser 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.
News & Insights
Speaking Engagements & Events
- Seminar, 03.19.2017
- Event, 02.16.2017
- Seminar, 02.02.2017
- Event, 05.18.2016
- Event, 10.22.2015
- Event, 05.07.2015
- Speaking Engagement, 03.15.2015
- Event, 03.15.2015
- Speaking Engagement, 10.16.2013
- Speaking Engagement, 06.05.2013
- Speaking Engagement, 05.20.2013
- Seminar, 4/24/13-4/26/13
- Event, 05.21.2012
- Speaking Engagement, 10.17.2011
- Speaking Engagement, 09.27.2011
- Publication, The Wall Street Journal and Dow Jones Newswires , 10.07.2019
- Publication, WealthManagement.com, 01.10.2018
- Alert, 01.11.2017
- Alert, 01.04.2017
- Alert, 08.17.2016
- Alert, 06.23.2015
- The Long Compliance Race: To Prepare for Regulatory Changes, Traders Must Think Like a Marathoner and Not a SprinterPublication, Traders Magazine Online News , 09.08.2014
- Securities And Exchange Commission Sanctions Three Investment Advisory Firms For Repeatedly Ignoring Problems With Their Compliance ProgramsAlert, Financial Institutions Law Alert, 10.25.2013
- Alert, Financial Institutions Law Alert, 10.16.2013
- Alert, 01.04.2013
- Alert, 10.09.2012
- California Court of Appeal Holds that Court Must Apply Equitable Standards to Expungement ApplicationAlert, 09.06.2012
- Publication, ABA Securities Litigation SRO Sub-Committee Hosts Panel Discussion , 06.02.2011
- Publication, PRACTICAL COMPLIANCE & RISK MANAGEMENT FOR THE SECURITIES INDUSTRY, July - August 2010
Associations & Organizations
- Securities Industry and Financial Markets Association (SIFMA), Compliance and Legal Society
- American Bar Association, SRO Subcommittee
- National Society of Compliance Professionals
- New York City Bar Association
Areas of Practice
- Rutgers University School of Law - Camden, J.D., with honors, 1999
- Temple University, B.A., 1996
- New Jersey
- New York
- U.S. District Court, District of New Jersey
- U.S. District Court, Southern District of New York
- U.S. District Court, Eastern District of New York