Attorney in Agoura Hills, California
A Partner with Freeman Freeman & Smiley, LLP, Sylvia M. Scott primarily handles cases relating to financial services, regulatory law, and employment law, including litigation. Serving clients out of the Los Angeles branch, Scott has regularly represented broker-dealers and financial institutions before the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the National Futures Association, and the Commodity Futures Trading Commission. Sylvia M. Scott also represented clients regarding membership application approvals with FINRA. Additionally, she previously represented individual brokers involved in employment disputes with a large wire house.
Before being admitted to practice law, Sylvia M. Scott attended Loyola Marymount University, a liberal arts institution in Los Angeles, where she received a Bachelor of Arts in Business Administration. She then went on to study law at the University of California, Los Angeles, and earned her Juris Doctor. Once she passed the bar exam, Sylvia M. Scott practiced as an enforcement attorney with the SEC, FINRA, and the Department of Justice over the course of 18 years. She joined the team at Freeman Freeman & Smiley in November 2005.
Sylvia M. Scott supplements her career by writing articles and delivering speeches relating to her legal focus. In 2011, she was a speaker at the American Bar Association's Sixth Annual National Institute on Securities Fraud, where she discussed the best way to handle FINRA inquiries. She also spoke at the Hedge Fund Enforcement and Regulatory Developments seminar put on by the Practicing Law Institute in New York City in the fall of 2011. As a writer, Sylvia M. Scott has penned several articles for Currents Magazine, including topics such as the examination and enforcement programs of the SEC and FINRA's reforms of the examination program.