Kimberly N. Chehardy

Kimberly (“Kim”) N. Chehardy is a seasoned securities attorney with a specialty in broker-dealer and investment adviser regulatory compliance. Her practice centers on securities litigation and regulation, insurance defense, and commercial litigation. Kim has extensive experience in representing clients in connection with regulatory examinations and proceedings, conducting internal investigations, and reviewing and revising company policies to adhere to best practices.  

Kim joined the firm after serving as an attorney advisor at the Department of Justice, Executive Office for Immigration Review. She spent several years in-house serving as Chief Compliance Officer of financial technology (“FinTech”) companies, where she oversaw all aspects of the firms’ compliance programs, including updating firm policies to comply with new regulations and managing all communications with regulators.  Kim’s expertise includes the broker-dealer net capital, customer protection, and books and records rules and broker-dealer membership application requirements and filings from her time at the SEC and FINRA, respectively.

Kim obtained her J.D. magna cum laude from Vermont Law School and B.A. from Loyola University, New Orleans. While in law school, she served on the Vermont Law Review and was a member of the Moot Court Board.  Prior to law school, Kim served as an officer in the United States Navy.

Member of the Bureau of Governmental Research

• Department of Justice, New Orleans, LA
• Financial Industry Regulatory Authority, New Orleans, LA
• Securities and Exchange Commission, Washington D.C.
• Davis Polk & Wardwell LLP, Washington D.C.
• Wilmer Cutler Pickering Hale and Dorr LLP, New York, NY