Sara focuses on regulatory examination and enforcement matters, internal investigations, and securities-related disputes. She regularly represents financial institutions, hedge funds, and public companies before the SEC, FINRA, CFTC, New York Office of Attorney General, DOJ and other regulators.

Sara is a leader in the firm’s SPAC regulatory and litigation practice, following a secondment to a large financial institution during which she worked closely with its senior team on SPACs. Sara also has significant experience advising clients in Mexico, Brazil and Chile and is as a member of the firm’s dedicated Lat-Am team. Sara also serves on the A&O Shearman Women Council and on the firm’s Recruiting Committee and Women Partners Committee.

Sara previously served as a director with the Financial Industry Regulatory Authority (FINRA), where she led a team of enforcement attorneys and investigators on regulatory matters involving securities fraud, suitability, anti-money laundering surveillance, operational failures, and other violations of federal securities laws.

Before joining FINRA, Sara was an associate at a global law firm where she represented financial institutions in civil litigation, SEC enforcement matters, and internal investigations.

Experience

Representative matters

Regulatory and Investigations

Several global financial institutions in connection with off-channel communications investigations by the SEC and CFTC.

Several financial advisory firms in SPAC-related investigations by the SEC, DOJ and FINRA.

A large financial institution in connection with a FINRA investigation concerning whistleblower allegations.

A large financial institution in connection with a CFTC investigation concerning non-disclosure agreements.

A group of underwriters in an IPO-related investigation by the SEC.

Officers and directors in an SEC investigation concerning corporate insider beneficial ownership reporting.

A global financial institution in an internal investigation concerning research analyst independence.

A global financial institution in a FINRA investigation concerning margin operations.

A global financial institution in a NYAG investigation concerning lending products.

A global financial institution in several internal investigations concerning potential conflicts of interest at a Latin American affiliate.

A global financial institution in an internal investigation concerning anti- bribery and corruption compliance at a Latin American affiliate.

A hedge fund in an SEC investigation concerning potential insider trading.

A cannabis company in an SEC investigation concerning potential insider trading.

A European banking group in connection with DOJ, District Attorney of New York, OFAC, Federal Reserve and DFS investigations into compliance with U.S. economic sanctions.

A large financial institution in an internal investigation following the discovery of significant trading losses at the Chief Investment Office. (previous firm experience)

An executive at a global financial services firm in an SEC investigation of alleged price manipulation and misrepresentations with respect to closed-end mutual funds. (previous firm experience)

A large financial institution in an SEC investigation concerning customer redemptions from a securities lending program. (previous firm experience)

Several broker-dealers in SEC and FINRA investigations concerning sales practices, reporting obligations and soft dollar programs. (previous firm experience)

Litigation

A major financial institution in a FINRA arbitration and state court litigation brought by a former Latin American private banking client alleging fraud, churning and other trading violations.

A public company in responding to a third-party subpoena in connection with an M&A transaction in Delaware Chancery Court.

A financial advisory firm in responding to several third-party subpoenas in SPAC-related actions in federal and state court.

Two financial advisory firms in a SPAC pre-closing suit.

A financial advisory firm in responding to a third-party subpoena in a high-profile SPAC litigation in Delaware Chancery Court.

Two defendant prime brokers in industry-wide litigation filed in state and federal courts alleging manipulative short-sale practices. (previous firm experience)

A large financial institution in a class-action litigation filed in federal court regarding collective investment trust fees. (previous firm experience)

Pro bono

Sara is a member of Abogadas MX, a non-profit organization dedicated to the advancement of women in the legal sector in Mexico.

Published Work

Speaking Engagements

  • SIFMA C&L Annual Seminar, 2024

Awards

  • “40 & Under List”, Benchmark Litigation, 2022, 2023, 2024
  • Rising Star, New York Law Journal Legal Awards, 2024 

Qualifications

Admissions

New York, 2010

Courts

United States District Court for the Southern District of New York, 2010

United States Court of Appeals for the First Circuit, 2012

United State District Court for the Eastern District of New York, 2024

Academic

B.A., summa cum laude, City University of New York, Queens College, 2006
– Queens College Presidential Honors Award
– Phi Beta Kappa

J.D., New York University, 2009
– Editorial Managing Editor, Journal of Legislation and Public Policy

Languages

Hebrew, Spanish
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.