Eshai J. Gorshein

Eshai J. Gorshein is a corporate attorney in Holland & Knight's New York office and a member of the Broker-Dealer and Investment Adviser Regulation Team. Leveraging more than 15 years of in-house experience at multinational investment banks, Mr. Gorshein assists leading financial institutions in connection with the legal, regulatory and compliance implications of broker and dealer activities.

Mr. Gorshein has extensive experience interacting with regulatory agencies, and he regularly counsels clients on U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) inquiries, enforcement matters and examinations, as well as continuing and new FINRA membership applications. He also negotiates complex trading agreements, supports regulatory inquiries and interprets a broad range of applicable regulations and state and federal laws.

Additionally, Mr. Gorshein provides clients with comprehensive legal and regulatory counsel on deposits, payments, cards, digital platforms and consumer banking products, including product development, international expansion, marketing review, fraud claims and client complaint responses. He also provides guidance related to anti-money laundering rules and regulations applicable to financial services firms.

Prior to joining Holland & Knight, Mr. Gorshein served as in-house counsel at a global financial services firm where he acted as legal and regulatory counsel for sales and trading products, advising front-office teams on product development, trade structures and transaction compliance across equities and fixed income. Previously, he served as a registered representative at global investment banks, where he advised individual investors.