Image of Taylor Pugliese

Taylor Pugliese

Associate

Taylor Pugliese is an associate in the Financial Institutions Advisory & Financial Regulatory practice. Taylor provides advice to market participants, including broker-dealers, banks, wealth management organizations, electronic trading platforms, alternative trading systems, investment advisers, hedge funds, and private equity firms globally with respect to regulatory, transactional, and trading and markets issues.
Taylor represents U.S. banks and broker-dealers on a range of issues, with particular emphasis on broker-dealer regulation and cross-border considerations.

Experience

Representative matters

Formation, registration and expansion of broker-dealers and ATS, including entities focused on investment banking advisory, registered offerings, private placements and secondary placement of private securities, research distribution, and secondary trading.

Representation of broker-dealers involved in SEC and FINRA investigations and enforcement actions.

Representation of underwriters in registered equity and debt securities offerings.

Representation of Banco Bradesco S.A. in its acquisition of BAC Florida Bank.

Published Work

  • Contributed to Shearman & Sterling LLP, "Navigating the Co-Existence of Regulation Best Interest and FINRA Rule 2111"
  • Contributed to Shearman & Sterling LLP, "FINRA Amends Corporate Financing Rule"
  • Contributed to Shearman & Sterling LLP, "SEC Staff Publishes Statement Regarding Form CRS Disclosures"

Qualifications

Admissions

Attorney-at-Law, New York

Academic

Maurice A Deane School of Law Hofstra University JD, magna cum laude

Senior Associate Editor, Hofstra Law Review

Health Law and Policy Fellow

State University of New York at New Paltz BA in Political Science, magna cum laude

Outstanding Graduate Award

Disclaimer
A&O Shearman was formed on May 1, 2024 by the combination of Shearman & Sterling LLP and Allen & Overy LLP and their respective affiliates (the legacy firms). Any matters referred to above may include matters undertaken by one or more of the legacy firms rather than A&O Shearman.