People: Renee B. Appel, Associate

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Renee B. Appel

Associate

Washington, D.C.
Direct: (202) 828-5371
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Renée Appel is an associate in the Litigation Department of Seyfarth Shaw LLP’s Washington, D.C. office. Clients seeking an attorney who offers tailored counseling on Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) compliance, risk management, and representation in financial fraud litigation and arbitration turn to Ms. Appel for guidance. Additionally, clients engaged in complex civil litigation in Washington D.C., Maryland, and Virginia go to Ms. Appel for creative strategies and solutions. Clients and colleagues alike enjoy working with Ms. Appel because of the passion and high energy she invests into each matter.

With a dynamic regulatory environment, especially in light of a new administration and government agency leadership, Ms. Appel recognizes that keeping up with the law is difficult and costly, especially for smaller firms and individuals. Ms. Appel works with broker-dealer firms and representatives, investment advisor firms and representatives, directors and officers, banks, and other members of the financial industry to help them navigate the complex regulatory environment. Ms. Appel has experience in client matters before the SEC, FINRA, Office of the Comptroller of the Currency (OCC), state regulatory agencies, and U.S. Department of Justice (DOJ). Ms. Appel also has experience in state and federal court defending and advocating for clients involved in civil legal disputes. Drawing on her experiences and knack for problem solving, she demonstrates top-notch analytic capabilities. She enjoys working with clients to devise appropriate policies and procedures and employ innovative strategies to any litigation or arbitration matter.

Prior to joining Seyfarth, Ms. Appel worked for the largest law firm in Montgomery County, Maryland in the firm’s Government Investigations and Financial Regulatory Compliance practice groups. While in law school, Ms. Appel won the national Kaufman Securities Moot Court Competition after arguing before U.S. Supreme Court Justice Samuel Alito and four federal judges. During her last year in law school, Ms. Appel represented investors in arbitration before FINRA through the law school's Investor Rights Clinic. She also worked at a national law firm focusing on commercial litigation and had the distinct honor of interning in the U.S. Court of Appeals for the Eleventh Circuit and U.S. Bankruptcy Court for the Southern District of Florida. In addition, Ms. Appel spent a summer interning in the Executive Office for U.S. Trustees in the DOJ.

Ms. Appel received her Juris Doctor with honors in 2014 from the University of Miami School of Law, where she was a member of the Charles C. Papy Moot Court Board and founding president of Miami's Federal Bar Association Student Chapter. She received her Bachelor of Arts in Political Science from Washington University in St. Louis and earned minors in Architecture and Institutional Social Analysis.

Renée Appel is an associate in the Litigation Department of Seyfarth Shaw LLP’s Washington, D.C. office. Clients seeking an attorney who offers tailored counseling on Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) compliance, risk management, and representation in financial fraud litigation and arbitration turn to Ms. Appel for guidance. Additionally, clients engaged in complex civil litigation in Washington D.C., Maryland, and Virginia go to Ms. Appel for creative strategies and solutions. Clients and colleagues alike enjoy working with Ms. Appel because of the passion and high energy she invests into each matter.

With a dynamic regulatory environment, especially in light of a new administration and government agency leadership, Ms. Appel recognizes that keeping up with the law is difficult and costly, especially for smaller firms and individuals. Ms. Appel works with broker-dealer firms and representatives, investment advisor firms and representatives, directors and officers, banks, and other members of the financial industry to help them navigate the complex regulatory environment. Ms. Appel has experience in client matters before the SEC, FINRA, Office of the Comptroller of the Currency (OCC), state regulatory agencies, and U.S. Department of Justice (DOJ). Ms. Appel also has experience in state and federal court defending and advocating for clients involved in civil legal disputes. Drawing on her experiences and knack for problem solving, she demonstrates top-notch analytic capabilities. She enjoys working with clients to devise appropriate policies and procedures and employ innovative strategies to any litigation or arbitration matter.

Prior to joining Seyfarth, Ms. Appel worked for the largest law firm in Montgomery County, Maryland in the firm’s Government Investigations and Financial Regulatory Compliance practice groups. While in law school, Ms. Appel won the national Kaufman Securities Moot Court Competition after arguing before U.S. Supreme Court Justice Samuel Alito and four federal judges. During her last year in law school, Ms. Appel represented investors in arbitration before FINRA through the law school's Investor Rights Clinic. She also worked at a national law firm focusing on commercial litigation and had the distinct honor of interning in the U.S. Court of Appeals for the Eleventh Circuit and U.S. Bankruptcy Court for the Southern District of Florida. In addition, Ms. Appel spent a summer interning in the Executive Office for U.S. Trustees in the DOJ.

Ms. Appel received her Juris Doctor with honors in 2014 from the University of Miami School of Law, where she was a member of the Charles C. Papy Moot Court Board and founding president of Miami's Federal Bar Association Student Chapter. She received her Bachelor of Arts in Political Science from Washington University in St. Louis and earned minors in Architecture and Institutional Social Analysis.

Education

  • J.D., University of Miami School of Law, cum laude (2014)

  • B.A., Washington University in St. Louis, cum laude (2011)

Admissions

  • District of Columbia
  • Maryland
  • Virginia

Courts

  • U.S. District Court for the District of Columbia
  • U.S. District Court for the District of Maryland
  • U.S. District Court for the Eastern District of Virginia

Affiliations

  • The Nonprofit Village (Board of Directors)

Representative Engagements

  • Defended former chairman of Philadelphia area bank against TARP-fraud, investor fraud and back fraud charges brought by Justice Department, working in conjunction with the Special Inspector General for the Troubled Assets Relief Program (SIG -TARP) and the Internal Revenue Service (IRS).
  • Convinced Securities Division of the Maryland Attorney General not to pursue action against off-shore company suspected of operating "pyramid scheme" in the United States.
  • Before going to hearing, obtained favorable settlement for home builder client in matter before the Consumer Protection Division of the Maryland Attorney General after winning Motion to Dismiss on half of the claims alleged against client.
  • Improved due diligence compliance for municipal securities underwriting groups after serving as independent consultant pursuant to SEC's order from Municipalities Continuing Disclosure Cooperation Initiative.
  • Obtained favorable settlement with FINRA and prevented enforcement action from advancing for dual broker-dealer and investment advisor representative who engaged in outside business activity and selling away; settlement involved reduced suspension period and fine so that client could maintain his current employment.
  • Convinced opposing counsel to drop complaint against former owner of broker-dealer firm in FINRA arbitration alleging malfeasance against the firm's broker-dealer representatives.
  • Counseled registered representative client who received letter from FINRA regarding Form U4 disclosure obligation failures and prevented FINRA from pursuing enforcement action against client.