Susan Gault-Brown is a fintech regulatory partner in the Washington, D.C., office of Wilson Sonsini Goodrich & Rosati. She advises participants in the fintech and financial services industries— including fintech companies, investment advisers, exempt reporting advisers, broker-dealers, funding portals, private funds, money services businesses, money transmitters, lenders, commodity trading advisers, and commodity pool operators—on regulatory, transactional, and counseling matters involving the securities and commodities laws and the laws applicable to payments and lending. Susan advises her clients in connection with the following issues, among others. She counsels fintech clients with respect to securities, commodities, payments, and lending law. Clients include accredited investor crowdfunding platforms, retail crowdfunding platforms, peer-lending platforms, cryptocurrency and blockchain products, robo-advisers and robo-brokers, payment companies, and other innovative fintech companies. Previously, she was a senior counsel in the Division of Investment Management's Office of Chief Counsel at the Securities and Exchange Commission.
Robert Rosenblum is a corporate and securities partner in the Washington, D.C., office of Wilson Sonsini Goodrich & Rosati. Rob focuses on the representation of financial services firms in sophisticated regulatory, transactional, and product development projects, advising them on federal securities laws and related financial services laws and regulations. He is well known nationally for helping companies structure their businesses and operations to avoid inadvertently becoming investment companies, as well as to avoid registering as investment advisers, broker-dealers, commodity trading advisers, or commodity pool operators. Rob also assists early-stage and other companies whose businesses require them to register in one or more of these capacities.
Robert advises her clients in connection with the following issues, among others. He represents hedge funds, private equity funds, venture capital funds, and private real estate funds. Prior to joining the firm, Rob was a partner in the investment management practice at K&L Gates. Before entering private practice, he worked at the Securities and Exchange Commission from 1986 to 1990, including in the Office of the General Counsel, in the Division of Corporate Finance, and as counsel to then-Commissioner Joseph A. Grundfest.
Amy Caiazza is a corporate and securities associate in the Washington, D.C., office of Wilson Sonsini Goodrich & Rosati. She advises participants in the financial services industry on regulatory, transactional, and counseling matters involving the securities and commodities laws.
Amy advises her clients in connection with the following issues, among others. Amy counsels clients that sponsor online investment platforms devoted to crowdfunding, peer lending, and similar strategies. Among other things, she provides advice about platform structuring, documentation, and regulatory issues, including a company's status as an investment adviser, broker-dealer, or investment company. She has worked with platforms that sponsor consumer, real estate, and other forms of lending programs, as well platforms facilitating angel and venture investing and other private securities offerings.
Amy received her JD from the University of Maryland Francis King Carey School of Law in 2011 Magna Cum Laude, Ph.D. in Political Science from Indiana University in 1999, and B.S. from Georgetown University, Walsh School of Foreign Service in 1989.