Alexandra Levine

Alexandra Levine focuses her practice on broker-dealer compliance and regulation.

Ms. Levine counsels and represents broker-dealers, global financial institutions and other clients on a variety of regulatory issues relating to the rules of the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and various securities exchanges, including the Customer Protection Rule, Net Capital Rule and various sales practice rules.

Ms. Levine has advised clients in connection with FINRA applications, registration issues and bank sweep programs, and worked with clients to develop comprehensive compliance and supervisory procedures for a range of broker-dealer activities.

She also has experience representing clients in connection with investigations involving microcap securities and order handling matters.

Before joining the firm, Ms. Levine was an associate in JPMorgan Chase & Co.'s compliance department, where she covered regulations across lines of business including the company's investment bank, asset management, commercial bank and mortgage bank. She has experience responding to regulatory requests from the Federal Reserve, SEC, Office of the Comptroller of the Currency, and Commodity Futures Trading Commission, as well as preparing for regulatory exams.

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  • Education

    • JD, Yeshiva University, Benjamin N. Cardozo School of Law, 2014

      magna cum laude

      Order of the Coif

    • BA, Political Science and Sociology, University of Michigan, 2011

  • Admissions

    • New York

    • New Jersey