Partner & Chair, Broker Dealer practice, Kelley Drye & Warren LLP
Paul McCurdy is a partner in the firm’s Stamford and New York offices and chair of the firm’s Broker-Dealer practice group. Mr. McCurdy has held numerous leadership positions at Kelley Drye, including Chairman of the firm.
Mr. McCurdy focuses his practice on representing financial services firms (investment banking, retail, clearing and direct access broker-dealers and advisory firms) in regulatory, enforcement, compliance, corporate and litigation matters. Having been ranked nationally as a leading practitioner in the Broker-Dealer area by Chambers USA, clients tell Chambers that Mr. McCurdy has “unique knowledge of the industry that many lawyers don’t have.”
Mr. McCurdy also regularly assists broker-dealers in their start-up phase and application for membership and the development of compliance policies and procedures, drafting and reviewing counterparty and customer documentation; clearing, give-up and introducing broker agreements. In addition, he regularly assists clients negotiating technology agreements for all types of brokerage related services. Mr. McCurdy negotiates high-level executive employment agreements for senior executives of financial services firms.