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July 15, 2021
Upcoming Event: Understanding the Securities Laws 2021
Richard B. Levin
Partner and Chair - FinTech and Regulation Practice
Suite 500
Denver, CO 80202
Suite 900
Washington, D.C., 20001
Richard is chair of the FinTech and Regulation Practice and was one of the first lawyers to focus on the regulation of blockchain and digital assets. He is considered a thought leader in the FinTech space. Richard brings his experience as a senior legal and compliance officer on Wall Street and in London to bear...
Richard is chair of the FinTech and Regulation Practice and was one of the first lawyers to focus on the regulation of blockchain and digital assets. He is considered a thought leader in the FinTech space. Richard brings his experience as a senior legal and compliance officer on Wall Street and in London to bear in advising clients on corporate, FinTech, securities, and regulatory issues. A problem–solver by nature, he has been advising FinTech clients on legal and regulatory issues since the start of electronic trading in the late 1990s. His practice focuses on helping financial services and technology clients identify and address regulatory issues as they build their businesses.
Richard’s practice focuses on the representation of early stage and publicly traded companies in the FinTech space, including investment banks, broker–dealers, investment advisers, peer–to–peer lending platforms, digital currency trading platforms, alternative trading systems (ATSs), exchanges, and custodians. He represents these firms before the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the U.S. Department of the Treasury, the Office of the Comptroller of the Currency (OCC), state regulators, and Congress. Richard has represented clients before regulators in Australia, Canada, France, Germany, Hong Kong, Ireland, Japan, Singapore, South Korea, and the United Kingdom.
His current and past clients include leading national financial institutions, multinational financial services holding companies, leading firms in the FinTech space, and institutions engaging in global investment banking, investment management, securities, and other financial services with institutional clients.
Richard has been identified by Chambers and Partners as one of the leading lawyers in the Blockchain and Cryptocurrencies category since the inception of the category. He has been recognized by Chambers for his knowledge on regulatory matters, great relationships with regulators, for helping clients push the boundaries of the FinTech sector, and for his advice on matters such as broker–dealer licensing and alternative trading systems.
Before joining Nelson Mullins, Richard was the chair and founder of the Chambers–rated FinTech and Regulation Practice of another leading U.S. law firm. The team he built was recognized by Chambers in the FinTech Legal in the USA category and in the FinTech Legal: Blockchain & Cryptocurrencies category. The team was recognized for its FinTech, blockchain, and cryptocurrency knowledge and as a leading firm on FinTech matters.
Richard is routinely quoted by leading publications including Bloomberg, the New York Times, Reuters, and the Wall Street Journal and is a frequent speaker at conferences around the world on the regulation of FinTech, blockchain, and digital assets.
in advising clients on corporate, FinTech, securities, and regulatory issues. A problem–solver by nature, he has been advising FinTech clients on legal and regulatory issues since the start of electronic trading in the late 1990s. His practice focuses on helping financial services and technology clients identify and address regulatory issues as they build their businesses.
Richard’s practice focuses on the representation of early stage and publicly traded companies in the FinTech space, including investment banks, broker–dealers, investment advisers, peer–to–peer lending platforms, digital currency trading platforms, alternative trading systems (ATSs), exchanges, and custodians. He represents these firms before the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the U.S. Department of the Treasury, the Office of the Comptroller of the Currency (OCC), state regulators, and Congress. Richard has represented clients before regulators in Australia, Canada, France, Germany, Hong Kong, Ireland, Japan, Singapore, South Korea, and the United Kingdom.
His current and past clients include leading national financial institutions, multinational financial services holding companies, leading firms in the FinTech space, and institutions engaging in global investment banking, investment management, securities, and other financial services with institutional clients.
Richard has been identified by Chambers and Partners as one of the leading lawyers in the Blockchain and Cryptocurrencies category since the inception of the category. He has been recognized by Chambers for his knowledge on regulatory matters, great relationships with regulators, for helping clients push the boundaries of the FinTech sector, and for his advice on matters such as broker–dealer licensing and alternative trading systems.
Before joining Nelson Mullins, Richard was the chair and founder of the Chambers–rated FinTech and Regulation Practice of another leading U.S. law firm. The team he built was recognized by Chambers in the FinTech Legal in the USA category and in the FinTech Legal: Blockchain & Cryptocurrencies category. The team was recognized for its FinTech, blockchain, and cryptocurrency knowledge and as a leading firm on FinTech matters.
Richard is routinely quoted by leading publications including Bloomberg, the New York Times, Reuters, and the Wall Street Journal and is a frequent speaker at conferences around the world on the regulation of FinTech, blockchain, and digital assets.
Experience
Previous Professional Experience
- Chair, FinTech and Regulation Practice office of national law firm
- Co–chair and founder of the Digital Currency Team of a global law firm
- Global Head of Product Development for Compliance and Operations of a leading global investment bank
- General Counsel and Chief Compliance Officer of three U.S. alternative trading systems and a U.K.–based multilateral trading facility
- General Counsel and Chief Compliance Officer of two successful joint ventures of leading global investment banks, including a company that was recently acquired by a leading securities exchange
- Assistant General Counsel and Regulatory Affairs Officer of the largest Nasdaq market maker
- General Counsel of one of the original electronic communications networks (ECNs) that was acquired by a global investment bank
Education
-
University of Denver Sturm College of Law,
JD
- Managing Editor, University of Denver Law Review
- Colorado College, BA, History
Admissions
- District of Columbia
- Colorado
- U.S. District Court for the District of Colorado
- U.S. Court of Appeals for the Tenth Circuit
Practice Areas
Industries
Previous Professional Experience
- Chair, FinTech and Regulation Practice office of national law firm
- Co–chair and founder of the Digital Currency Team of a global law firm
- Global Head of Product Development for Compliance and Operations of a leading global investment bank
- General Counsel and Chief Compliance Officer of three U.S. alternative trading systems and a U.K.–based multilateral trading facility
- General Counsel and Chief Compliance Officer of two successful joint ventures of leading global investment banks, including a company that was recently acquired by a leading securities exchange
- Assistant General Counsel and Regulatory Affairs Officer of the largest Nasdaq market maker
- General Counsel of one of the original electronic communications networks (ECNs) that was acquired by a global investment bank
Articles & Speeches
Recognitions
- One of 14 leading lawyers in Blockchain and Cryptocurrencies — Chambers and Partners (2017–2021)
Professional Activities
- Chamber of Digital Commerce – Lawyers Committee
- Global Chamber – Chicago and Denver – Advisory Boards
- SIFMA – Compliance and Legal Division
- University of Pennsylvania – Wharton School of Business – RegTech Group
- Wall Street Blockchain Alliance – Advisory Board
Richard is chair of the FinTech and Regulation Practice and was one of the first lawyers to focus on the regulation of blockchain and digital assets. He is considered a thought leader in the FinTech space. Richard brings his experience as a senior legal and compliance officer on Wall Street and in London to bear... in advising clients on corporate, FinTech, securities, and regulatory issues. A problem–solver by nature, he has been advising FinTech clients on legal and regulatory issues since the start of electronic trading in the late 1990s. His practice focuses on helping financial services and technology clients identify and address regulatory issues as they build their businesses.
Richard’s practice focuses on the representation of early stage and publicly traded companies in the FinTech space, including investment banks, broker–dealers, investment advisers, peer–to–peer lending platforms, digital currency trading platforms, alternative trading systems (ATSs), exchanges, and custodians. He represents these firms before the U.S. Securities and Exchange Commission (SEC), the U.S. Commodity Futures Trading Commission (CFTC), the Financial Industry Regulatory Authority (FINRA), the U.S. Department of the Treasury, the Office of the Comptroller of the Currency (OCC), state regulators, and Congress. Richard has represented clients before regulators in Australia, Canada, France, Germany, Hong Kong, Ireland, Japan, Singapore, South Korea, and the United Kingdom.
His current and past clients include leading national financial institutions, multinational financial services holding companies, leading firms in the FinTech space, and institutions engaging in global investment banking, investment management, securities, and other financial services with institutional clients.
Richard has been identified by Chambers and Partners as one of the leading lawyers in the Blockchain and Cryptocurrencies category since the inception of the category. He has been recognized by Chambers for his knowledge on regulatory matters, great relationships with regulators, for helping clients push the boundaries of the FinTech sector, and for his advice on matters such as broker–dealer licensing and alternative trading systems.
Before joining Nelson Mullins, Richard was the chair and founder of the Chambers–rated FinTech and Regulation Practice of another leading U.S. law firm. The team he built was recognized by Chambers in the FinTech Legal in the USA category and in the FinTech Legal: Blockchain & Cryptocurrencies category. The team was recognized for its FinTech, blockchain, and cryptocurrency knowledge and as a leading firm on FinTech matters.
Richard is routinely quoted by leading publications including Bloomberg, the New York Times, Reuters, and the Wall Street Journal and is a frequent speaker at conferences around the world on the regulation of FinTech, blockchain, and digital assets.
Experience
Following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.Previous Professional Experience
- Chair, FinTech and Regulation Practice office of national law firm
- Co–chair and founder of the Digital Currency Team of a global law firm
- Global Head of Product Development for Compliance and Operations of a leading global investment bank
- General Counsel and Chief Compliance Officer of three U.S. alternative trading systems and a U.K.–based multilateral trading facility
- General Counsel and Chief Compliance Officer of two successful joint ventures of leading global investment banks, including a company that was recently acquired by a leading securities exchange
- Assistant General Counsel and Regulatory Affairs Officer of the largest Nasdaq market maker
- General Counsel of one of the original electronic communications networks (ECNs) that was acquired by a global investment bank
Education
-
University of Denver Sturm College of Law,
JD
- Managing Editor, University of Denver Law Review
- Colorado College, BA, History
Admissions
- District of Columbia
- Colorado
- U.S. District Court for the District of Colorado
- U.S. Court of Appeals for the Tenth Circuit
Practice Areas
- FinTech
- Blockchain & Digital Currency
- Broker Dealers & Investment Management Litigation
- Corporate & Securities
- Emerging Companies
- Government Relations
- Securities & Enforcement
- White Collar Defense & Government Investigations
Industries
- One of 14 leading lawyers in Blockchain and Cryptocurrencies — Chambers and Partners (2017–2021)
- Chamber of Digital Commerce – Lawyers Committee
- Global Chamber – Chicago and Denver – Advisory Boards
- SIFMA – Compliance and Legal Division
- University of Pennsylvania – Wharton School of Business – RegTech Group
- Wall Street Blockchain Alliance – Advisory Board
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