Gavin Meyers

Gavin Meyers

Associate
Baker & McKenzie LLP
Not admitted to practice law in this jurisdiction

Biography

Gavin Meyers is an associate in Baker McKenzie's Financial Regulation and Enforcement Practice Group in North America. Gavin is an experienced regulatory lawyer with a focus on federal and state securities laws impacting the broker-dealer and investment adviser industries. Immediately prior to joining the Firm Gavin was an Assistant General Counsel with Raymond James, and previously served as Senior Counsel in the Office of General Counsel at the Financial Industry Regulatory Authority (FINRA).

As Assistant General Counsel with Raymond James, Gavin provided practical guidance to business, supervision, and compliance groups regarding securities regulations and FINRA rules, including with respect to implementation of the Securities and Exchange Commission (SEC)'s Regulation Best Interest.

As Senior Counsel at FINRA, Gavin 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. Gavin 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 practical guidance regarding federal and state securities laws and FINRA rules, with a focus on the broker-dealer and investment adviser industries. He represents broker-dealers and other financial services clients across a variety of regulatory and enforcement matters.

Professional Associations and Memberships

  • DC Bar Association

Admissions

  • 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
  • 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