SARASOTA, FL —Matthew S. Rosenstein has joined Shumaker as an associate in the firm's Litigation & Disputes Service Line, bringing five years of experience as a Chicago Board Options Exchange (Cboe) regulator to his representation of financial services clients. His practice centers on complex disputes involving members of the financial services industry, from large institutions to individual registered investment advisors (RIAs).
Matthew combines an analytical approach with a personable style, drawing on firsthand experience with the organizations that oversee the financial services industry and its participants. His regulatory background offers clients a perspective informed by how investigations develop, trading activity is examined, and potential violations move toward disciplinary action.
"Understanding how regulators approach an investigation brings an important dimension to representing financial services clients," said Shumaker Partner Michael Bressan. "Matthew's experience on that side of the table adds a valuable perspective to our team as we help clients navigate complex disputes and the regulatory issues that often accompany them."
Matthew's work at Cboe included conducting market surveillance and analyzing trading data, pursuing regulatory inquiries and interviewing witnesses, and collaborating with enforcement counsel to advance disciplinary action. His financial services legal experience also includes internships with the Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC), further grounding his practice in the industry's regulatory framework.
"Financial services clients are balancing innovation and growth with an increasingly demanding risk landscape," said Mike Taaffe, Shumaker Partner and Financial Services Industry Sector Chair. "Matthew brings the industry fluency and practical judgment to help them make sound decisions, protect their businesses, and move forward with confidence."
Matthew's interest in financial services law began early, influenced by several members of his father's family who practice in the field. Today, he brings that longstanding interest and his regulatory experience to helping clients navigate their complex disputes.