Anthony Cipiti is a member of the firm’s Financial Services Practice Group. He helps direct its regulatory and compliance practice for broker-dealers, investment advisers, mutual funds and business development companies. He has extensive experience with securities regulation and securities transactions, as well as with the corporate governance needs of asset managers and brokerage firms. Immediately prior to joining Squire Sanders, Anthony served as chief counsel and corporate secretary for the retail brokerage, investment banking and asset management arms of one of the nation’s largest financial services companies.

Anthony’s practice covers the gamut of a securities firm’s operations. It includes compliance policies and procedures; contract preparation and negotiation; regulatory examinations, investigations and inquiries (SEC, FINRA, state); sales and distribution matters; rule interpretation; fund formation; new product development; no-action letters and exemptive orders; acquisition and disposition transactions (from due diligence to post-closing integration); and internal investigations. Anthony also advises financial institutions on the interplay between federal banking law and federal securities law.

He has been recognized as an Ohio Super Lawyer by Law & Politics magazine and as a Leading Lawyer in Northeast Ohio by Inside Business magazine. He is a former chair of the Cleveland Metropolitan Bar Association’s Securities Law Section and is a member of the American Bar Association. Anthony is an accomplished writer and speaker on securities law topics.