Image of Taylor Pugliese

Taylor Pugliese

Associate

Email

taylor.pugliese@aoshearman.com

Phone

+1 212 848 7294

Offices

New York

V-CARD
Taylor provides advice to market participants, including broker-dealers, banks, wealth management organizations, electronic trading platforms, alternative trading systems, investment advisers, hedge funds, and private equity firms globally with respect to regulatory, transactional, and trading and markets issues.

Taylor represents U.S. banks and broker-dealers on a range of issues, with particular emphasis on broker-dealer regulation and cross-border considerations.

Taylor regularly advises clients on federal, state, and SRO rules and regulations governing broker-dealers. As part of this advice, she counsels clients on the registration and expansion of broker-dealers and alternative trading systems, including entities focused on investment banking advisory, registered offerings, private placements, research distribution, and secondary trading.

Expertise

Industries

Experience

Representative matters

  • A multinational financial institution in connection with its business combination with AllianceBernstein, including related SEC, FINRA and SRO regulatory approvals and corresponding compliance program.
  • Mubadala Investment Company PJSC in its acquisition of Fortress Investment Group from SoftBank Group Corp., and corresponding U.S. regulatory approvals.
  • Gemini Galactic Markets, LLC in connection with its broker-dealer registration with the SEC and membership with FINRA, authorizing the firm to operate an alternative trading system (ATS) that allows subscribers to trade in digital asset securities.
  • Banco Bradesco S.A. on its $500 million acquisition of BAC Florida Bank.

Qualifications

Admissions

Admitted to the Bar of the State of New York

Academic

Maurice A. Deane School of Law at Hofstra University, J.D., magna cum laude

State University of New York at New Paltz, B.A. in Political Science, magna cum laude

Disclaimer
A&O Shearman was formed on May 1, 2024 by the combination of Shearman & Sterling LLP and Allen & Overy LLP and their respective affiliates (the legacy firms). Any matters referred to above may include matters undertaken by one or more of the legacy firms rather than A&O Shearman.