Neal E. Sullivan

NEAL SULLIVAN conducts a comprehensive securities enforcement regulatory practice and maintains a particular focus on broker-dealer and investment adviser matters. Neal is co-Leader of Sidley’s Securities Enforcement and Regulatory practice group and is one of the leading advisers to the securities industry on major compliance and regulatory matters. Neal represents clients before the SEC, FINRA, other self-regulatory organizations and state securities agencies.  Neal is the former executive director of the North American Securities Administrators Association and former Vice President of the Boston Stock Exchange.  He has been recognized as a Band 1 practitioner in Chambers USA: America’s Leading Lawyers (2008 – 2022).

EDUCATION

· Suffolk University Law School

(J.D., 1990)

Stonehill College

(B.A., 1982)