The Washington, D.C., office of global law firm K&L Gates LLP welcomes broker-dealer lawyer K. Susan Grafton as a partner in the investment management practice. Grafton joins K&L Gates from Gibson, Dunn & Crutcher LLP.
A former Vice President and Associate General Counsel for Goldman, Sachs & Co. and staff member at the Securities and Exchange Commission’s (SEC) Division of Trading and Markets, Grafton concentrates her practice on advising broker-dealers and investment advisers on a wide range of business, regulatory, and compliance issues. These include Dodd-Frank Act-related matters, such as the uniform standard of care and investment adviser and swap execution facility regulation and registration; SEC, Financial Industry Regulatory Authority (FINRA), and state registration processes; and sales, trading, and operational compliance issues.
“We are delighted to welcome Susan to K&L Gates,” said David T. Case, Administrative Partner of K&L Gates’ Washington, D.C., office. “Representation of companies in the financial services industry is an important part of K&L Gates’ practice. Susan’s knowledge of the industry and her combination of SEC, in-house, and law firm experience will enhance and expand the services we provide to our broker-dealer, investment management, and public company clients throughout the firm.”
