Lauren Shapiro Attorney Profile on UpCounsel
Lauren  Shapiro

Lauren Shapiro

Attorney at Law

Miami
Florida
Licensed in
FL, NY
Brooklyn Law School
5.0 5
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 2 reviews
About
Securities attorney licensed in Florida and New York with extensive experience in SEC and FINRA investigations and regulation of broker-dealers and investment advisers from formation to day-to-day operations. Provide legal, regulatory and compliance guidance in connection with ever changing government regulation.
12
Years
experience
Contact Lauren

Practice Areas

Client Reviews

5.0
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 2 reviews
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Lauren is an outstanding securities attorney. She is responsive, thorough and insightful in her advice regarding a wide variety of securities law issues. Her demeanor and personality enable me to develop a trust and confidence in her advice. She is a valued advisor to my international broker-dealer and investment adviser firm"

Regulatory Counsel
Non-UpCounsel Client
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"“Lauren is an outstanding securities attorney. She is responsive, thorough and insightful in her advice regarding a wide variety of securities law issues. Her demeanor and personality enable me to develop a trust and confidence in her advice. She is a valued advisor to my international broker-dealer and investment adviser firm.”"

Regulatory Counsel
Non-UpCounsel Client

Work History

FINRA

FINRA Dispute Resolution Arbitrator

Aug 2016 - Present

As an active industry (non-public) FINRA Arbitrator, I preside over cases and render final and binding decisions after carefully weighing the facts of each case. FINRA operates the largest dispute resolution forum in the securities industry. FINRA Dispute Resolution provides a fair, impartial and efficient system of resolution pertaining to securities and employment disputes.

Aug 2016 - Present

Capital Legal Group PA

Managing Attorney

Oct 2015 - Present

Capital Legal Group is a boutique securities law firm, representing both domestic and international clients on their most sophisticated legal challenges in all areas of securities, compliance, transactional, and governance matters. We understand government regulatory and enforcement priorities because we served in SEC and FINRA staff positions enhancing our ability to provide focused advice.

Oct 2015 - Present

US Securities and Exchange Commission

Attorney Advisor

Jan 2019 - May 2014

• Conducted and led investigations into possible violations of the federal securities laws
• Provided legal and regulatory guidance to examination staff
• Analyzed relevant securities laws, rules and regulations and informed policy
• Coordinated with other divisions and offices within the Commission and other self regulatory organizations
• Drafted, edited and presented recommendations to other d

Jan 2019 - May 2014

FINRA

Attorney-Examiner

Jan 2011 - Jan 2013

Conducted member examinations, including managing and delivering formal disciplinary referrals to FINRA’s enforcement department involving money laundering suspicions, selling away, unregistered entities and failure to implement adequate supervisory systems.
• Led high risk level examinations for sales practice and FINOP compliance with applicable rules and regulations
• Identified risks and red f

Jan 2011 - Jan 2013

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