Chelsey Dawson Klein Associate

Chelsey represents financial services clients and individuals in complex securities matters, focusing on regulatory investigations, enforcement actions, internal investigations and litigation. She also counsels broker-dealers investment advisers on applicable regulatory requirements.

Chelsey is a member of McGuireWoods’ Complex Commercial Litigation department and the firm’s Securities Enforcement & Regulatory Counseling practice group. She advises and represents institutions and individuals in investigations by the Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), the Department of Justice and other state regulators. Chelsey has experience with various anti-money laundering (AML) issues including Know-Your-Customer (KYC), Customer Identification Program (CIP), and suspicious activity report (SAR) filing. Her experience also includes investigating financial advisors accused of misconduct.

Chelsey is committed to pro bono service. Since joining the firm, she has counseled an NGO dedicated to combatting human trafficking, assisted with a death penalty appeal, and represented an asylum-seeker.


Investigation Experience

Represented a major financial institution in both internal and regulatory investigations focused on KYC and CIP requirements.

Defended a financial institution from a SEC investigation into unusual trading patterns.

Represented a financial services institution in an investigation involving its employee compensation.

Broker-Dealer Experience

Represented individuals and financial services institutions in regulatory enforcement proceedings involving unauthorized trading, complex products, and other market practices.

Counseled a broker-dealer on compliance with FINRA’s Consolidated Audit Trail (CAT) reporting.

Counseled various broker-dealers when revising their internal written policies and procedures.

Defended a broker-dealer in FINRA formal and informal CAT reporting inquiries.

  • Temple University Beasley School of Law, JD, magna cum laude, Order of the Coif, Staff Editor, Note/Comment Editor and Write-on Coordinator, Temple Law Review, 2020
  • Furman University, BA, Political Science and Philosophy, cum laude, 2017

Adjunct Professor, “Domestic Arbitration: Law, Policy, & Practice,” University of Pittsburgh School of Law, 2022-2023

  • Pennsylvania

Recipient, The International Academy of Trial Lawyers’ Prize, Temple University Beasley School of Law, 2020

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