Susan I. Gault-Brown is the chair of the firm’s fintech practice group and an active member of the investment management group. For over 20 years, Susan has been a trusted adviser to clients, including registered funds, private funds, investment advisers, broker-dealers, funding portals, commodity trading advisors, commodity pool operators and other regulated financial participants, as well as entities exempt from regulation. She routinely counsels clients on SEC and CFTC compliance issues concerning derivatives and securities. She has significant experience with emerging financial services products that are web and app-based, including crowdfunding platforms, investment platforms, cryptocurrencies, digital assets, blockchain and distributed ledger technology (DLT) and roboadvisers.
A highly-regarded leader in the fintech and asset management fields due to her SEC background, Susan is frequently called upon by the media and prominent events to share her expansive knowledge on a broad range of issues impacting the industry.
Prior to her time in private practice, Susan was senior counsel at the SEC’s Division of Investment Management’s Office of Chief Counsel. In her early career, she served as a judicial clerk to Judge Constance Baker Motley in the U.S. District Court for the Southern District of New York.
Susan earned her J.D., cum laude, from the University of Pennsylvania and was a member of the Order of the Coif. She received her M.A. from Washington University in St. Louis. She earned her B.A., magna cum laude, and was a Phi Beta Kappa member at Duke University.