Sylvia Scott Attorney

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With over 20 years of legal and government oversight experience, Sylvia M. Scott possesses an impressive resume. Maintaining expertise in most if not all aspects of securities regulation and litigation, she is a Partner with Freeman, Freeman & Smiley, LLP, where she focuses on an array of litigation-oriented issues involving individual brokers, broker-dealers, hedge funds, and large educational institutions. Engaged in this capacity since 2005, Sylvia M. Scott manages the firm’s Securities Regulation Practice Group. From 1993 to 2005, Sylvia M. Scott functioned as a securities litigator and regulator for the National Association of Securities Dealers.

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Sylvia Scott Attorney

Presentations

Playing Devil’s Advocate to Pass Cycle Examinations

The NSCP Compliance Education Scholarship

How to Prepare for a FINRA Regulatory Inspection

The SEC Institute at PLI

FINRA Focuses on Management Conflict of Interest in 2016

The Importance of Demonstrating a “Compliance Culture” to FINRA