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Gavin Meyers

Gavin Meyers

Associate
Baker & McKenzie LLP

Biography

Gavin Meyers is a senior associate in Baker McKenzie's Financial Regulation and Enforcement Practice Group in North America. Gavin is an experienced regulatory lawyer advising broker-dealers, investment advisers, FinTech and cryptocurrency firms on regulatory, enforcement and compliance matters involving federal and state securities laws, FINRA rules and money transmission regulations.

Prior to joining the Firm, Gavin was Senior Legal Counsel at a start-up FinTech broker-dealer and crypto-trading platform where he managed the firm's US money transmitter licensing (MTL) applications and advised the firm’s various entities on broker-dealer and crypto-related regulatory obligations and strategic business decisions.  Gavin also previously was Assistant General Counsel at a global financial services firm where he provided practical guidance to business, supervision, and compliance groups regarding securities regulations and FINRA rules, including implementation of the Securities and Exchange Commission (SEC)'s Regulation Best Interest. Gavin also served as Senior Counsel in the Office of General Counsel at the Financial Industry Regulatory Authority (FINRA) where he was responsible for providing guidance on complex regulatory initiatives and FINRA rules and developing and drafting regulatory guidance and rule filings for submission to SEC. He also served in FINRA's Office of Fraud Detection and Market Intelligence (OFDMI) where he conducted regulatory investigations involving insider trading.

Practice Focus

Gavin leverages his past regulatory and in-house experiences in providing regulatory and strategic guidance on securities and cryptocurrency regulatory matters. He advises broker-dealers and investment advisers on a variety of regulatory issues including standards of conduct (suitability, Regulation Best Interest, and fiduciary duties), status and registration, formation and continuing membership applications, advertising regulation, disclosure obligations, anti-money laundering (AML) compliance, net capital and customer protection rules, trade reporting, clearing and execution, books and records requirements, and revenue sharing. Gavin advises cryptocurrency focused firms on the US regulatory framework, money transmission licensing, crypto wallets and transfers, intermediary arrangements, and AML compliance. He also represents broker-dealers and other financial services clients across a variety of SEC, FINRA and state regulatory and enforcement matters.

Professional Associations and Memberships

  • D.C. Bar Association
  • Florida Bar Association

Admissions

  • Florida (2022)
  • District of Columbia~United States (2012)

Education

  • Georgetown University Law Center (LLM) (2017)
  • Stetson University College of Law (JD) (2012)
  • Ball State University (BS) (2007)

Languages

  • English

Presentations

  • Panelist, PLI Broker/Dealer Regulation and Enforcement 2020, State Enforcement Initiatives, Developments and Priorities, December 2020

  • Lecturer, FINRA Institute at Wharton (CRCP), Advanced Suitability, July 2017

  • Speaker, 2016 FINRA Annual Conference, Back-to-Basics: Suitability, May 2016
Baker & McKenzie LLP is a Limited Liability Partnership organized under the laws of the State of Illinois (USA) and is a member of Baker & McKenzie International, a Verein organized under the laws of Switzerland.