Nellie R. Dunderdale

Nellie Dunderdale helps solve regulatory and compliance issues for financial services clients, including broker-dealers and those operating in the fintech ecosystem looking to bring their products and services to market. To help clients navigate their unique challenges, Nellie applies a regulatory perspective gained while serving as an enforcement attorney at FINRA.

She further draws on her knowledge of federal securities laws as well as independent agency rules to help companies develop novel financial products and platforms with respect to cryptocurrency and blockchain. Her experience in this space includes advising broker-dealers, investment advisers, alternative trading systems, private funds, and others working toward registering in these capacities.

Prior to joining DWT, Nellie served at FINRA as an attorney in the Department of Enforcement, where she resolved matters on behalf of FINRA, enforcing the applicable securities rules, negotiating settlements, and advocating FINRA's position. She also worked on FINRA examinations and investigations, reviewing for violations of federal securities laws and FINRA rules and regulations, investigating potentially manipulative activity in the securities markets, and presenting findings to FINRA's Department of Enforcement and the Securities and Exchange Commission.