Attorney Profile
Ryan P. Friel
Areas of Practice
Contact Info
Overview
Ryan is a member of both the Securities & Investments Professional Liability and Privacy and Data Security Practice Groups. He represents FINRA member firms, registered representatives and registered investment advisors in state and federal court as well as in Financial Industry Regulatory Authority (FINRA) arbitration and expungement proceedings in addition to a wide range of investigations, examinations, inquiries and enforcement matters. Ryan’s privacy and data security practice involves defending clients in both privacy-related litigation, and technology related claims and litigation as well as handling regulatory investigations for clients from a wide breadth of industries in matters stemming from data privacy and security incidents.
Prior to joining the firm, Ryan was an Assistant District Attorney in the Economic and Cyber Crimes Unit of the Philadelphia District Attorney’s Office. In his role as a prosecutor, Ryan gained significant trial experience with a particular focus on white-collar and computer-based crimes. Ryan also worked at FINRA where he assisted in bringing enforcement actions against broker-dealers and their registered representatives. Ryan’s time at FINRA gives him a unique insight into the ever-changing regulatory landscape his clients face, including the protection of financial and personal customer information under the SEC’s Regulation S-P. Ryan began his legal career at a boutique litigation firm where he represented professional athletes in investment fraud cases where he helped recover millions of dollars in losses.
Ryan is a member of the Advisory Board of St. Francis de Sales School, an independent, non-Archdiocesan elementary school located in West Philadelphia that provides a Catholic education to a diverse student body of all faiths and backgrounds most of whom come from economically depressed areas of Philadelphia.
Ryan is a 2008 graduate of Fairfield University where he earned a Bachelor of Arts Degree and a 2012 graduate of Syracuse University College of Law where he graduated cum laude.
Results
Thought Leadership
PLUS Podcast, Managing Cybersecurity Threats in 2024, Episode 2: SEC Amendment's Impact on Compliance and Reporting, July 2024
Outside Business Activities: Overview and Best Practices for Broker-Dealers, 7th Annual CNA Life Agent and Broker-Dealer Conference, October 5, 2023
"DOL's Retirement Security Rule Imposes New Fiduciary Standards on Financial Services, Insurance Industries," The Legal Intelligencer, May 10, 2024
"FINRA Proposal Creates Urgency for Brokers Seeking Expungement of Customer Complaints," The Legal Intelligencer, May 4, 2023
"FINRA, the SEC and Congress Aim to Safeguard Senior Investors," The Legal Intelligencer, Co-Author, May 12, 2022
"The Sale of High Commission Products Under Regulation Best Interest", Aon Advisor Solutions, Fall 2020 Newsletter