SAC Bulletin Board

PEOPLE: Capital Forensics Inc. Further Expands Professional Depth With Addition of Three Senior Advisors

Posted on 2018-03-23

Capital Forensics Inc. is pleased to announce that the firm has added three Senior Advisors to its growing team of consulting professionals and expert witnesses. The firm’s new members include: R. Gerald (Jerry) Baker, Jeffrey L. Baliban, CPA and Sean T. Gilmartin, Esq.. Mr. Baker is a highly respected and regulatory professional with more than four decades of experience in senior level compliance positions at one of the nation's leading financial services firms. Mr. Baker has had a distinguished career as an independent advisor to firms, associations and regulatory organizations in the financial services industry; notably he served as a Special Advisor to the Compliance and Legal Society of the Securities Industry and Financial Markets Association (SIFMA) for more than a decade. Mr. Baliban, a Professor of Statistical Measurements, Analysis and Research at NYU, has for nearly 40 years provided independent evaluation studies for a broad range of complex commercial disputes. Mr. Baliban has directed many forensic accounting investigations with regard to fraud issues, SEC compliance, Ponzi schemes, and other Department of Justice investigations. His professional background includes senior positions at KPMG, Alvarez & Marsal, Navigant Consulting and NERA Economic Consulting. Mr. Gilmartin, has served as a senior compliance officer for nearly 3 decades, including positions as Director of Regulation at the NYSE, and as a senior compliance officer for Merrill Lynch. At the NYSE, Mr. Gilmartin was responsible for building the Surveillance and Investigations program for trading across three equities exchanges and two options exchanges. To learn more about these advisors and their various achievements, please visit Capital Forensics' website: www.capitalforensics.com

Former SEC Investment Management Director and Deputy Chief Counsel Join Stradley Ronon

Posted on 2018-03-23

Stradley Ronon Stevens & Young is proud to announce that David W. Grim and Sara P. Crovitz have joined the firm as partners in its Washington, DC office. Dave was most recently Director of the U.S. Securities and Exchange Commission’s Division of Investment Management. Sara was most recently Deputy Chief Counsel and Associate Director in the SEC’s Division of Investment Management. The Division protects investors and promotes capital formation through oversight of the nation's multitrillion dollar asset management industry. Mr. Grim has spent more than 20 years in public service at the SEC, joining the Division directly from law school and rising to become its leader. He is a recognized leader in the asset management industry, having developed a legacy of regulatory policy reforms and legal guidance that shaped the Division and the industry it regulates. As Director, Dave was responsible for developing regulatory policy for investment advisers and investment companies, including mutual funds, exchange-traded funds, closed-end funds, business development companies, unit investment trusts, and variable insurance products. In addition, he oversaw the Division’s relationships with other key functions at the SEC, including the Division of Enforcement and the National Exam Program. Ms. Crovitz has more than 20 years of experience at the SEC. In her most recent position, Sara worked with a team of over 50 attorneys in issuing exemptive orders, no-action/interpretive letters, IM guidance updates and other written and oral guidance, including guidance related to MiFID, clean shares and auditor independence. She also led the Division's international obligations including IOSCO and FSB work streams. To learn more about David W. Grim, and Sara P. Crovitz and their various achievements, please visit Stradley Ronon's website: www.stradley.com/

Shustaks Reynolds & Partners Adds to its Transactiosn Practice Group and Adds New Business and Securities Attorney

Posted on 2018-03-23

Shustak Reynolds & Partners is pleased to announce a significant expansion of their corporate and securities transactions practice group by the addition of two senior lawyers with extensive experience and expertise in corporate and securities transactions; public and private offerings; mergers, acquisitions and divestitures; debt offerings; venture capital, crowdfunding, and hedge funds. Mr. Richard A. Weintraub has 35 years experience specializing in business and securities transactions; venture capital; choice and formation of business entities; mergers, acquisitions, and divestitures; public and private offering; and debt financing. He is also an expert in crowdfunding, hedge funds, and private equity funds. Richard has taught tax and securities law at UCLA, UCSD, and USD and often has been an expert witness in his fields of practice. Ms. Amber L. Condron focuses on securities and corporate law and transactions and has worked closely with Richard Weintraub at the Weintraub Law Group for the last five years. She represents businesses of all sizes and specializes in helping companies raise private capital under Rule 506, Title III, and Regulation A+. Shustak Reynolds is also pleased to announce that Erik M. Ideta has recently joined the firm in our San Diego office. Erik focuses on business and securities transactions and dispute resolution. Erik practiced business litigation with the national law firm of Troutman Sanders LLP and then served as COO of a successful business start-up. For further information and to learn more about these attorneys and their various achievements, please visit Shustak Reynolds & Partners' website: www.shufirm.com

Katrina Boice, Esq. Joins Girard Bengali APC

Posted on 2018-02-15

Girard Bengali APC is honored to announce that Katrina Boice has joined the firm as Of Counsel. Ms. Katrina M. Boice represents clients in securities arbitration matters before FINRA and securities litigation matters in state and federal courts. Ms. Boice began her career in 2008 and has gained valuable knowledge in the industry. Ms. Boice is a member of the Public Investors Arbitration Bar Association and has served on its membership committee, annual meeting committee and bar journal committee. Ms. Boice has spoken before law students and professional groups on various topics which include social media, the handling of securities arbitration and litigation involving brokerage firms. To learn more about Katrina M. Boice, and her various achievements, please visit Girard Bengali's website: www.girardbengali.com/

Orrick to Expand National White Collar & Securities Litigation Practice with the Addition of 7 New Litigators in NY and DC

Posted on 2018-02-15

Orrick Herrington & Sutcliffe has expanded its white collar and securities litigation practices with the addition of 7 new partners to its Washington, DC and New York, NY offices. All formerly with the law firm Morvillo LLP (Orrick and Morvillo LLP merged in January 2018) the new partners are: E. Scott Morvillo, Amy Walsh, Gregory Morvillo and Ellen Murphy all located in the firm's New York offices and Richard J. Morvillo, Andrew J. Morris and Daniel Nathan all located in the firm's Washington DC offices. Mr. E. Scott Morvillo represents executives and businesses in a wide range of criminal, regulatory and civil matters, as well as internal investigations, ranging from allegations of securities and bank fraud and public corruption to violations of the Foreign Corrupt Practices Act. Ms. Amy Walsh represents individuals and institutions in government investigations, enforcement actions and prosecutions by various government agencies, including the U.S. Department of Justice, SEC, CFTC and IRS. Mr. Gregory Morvillo has represented individuals and corporations in dozens of federal and state court actions and in government investigations, specializing in trials involving insider trading and securities fraud matters. Ms. Ellen Murphy's white collar and complex litigation practice focuses on representing individuals and organizations in a variety of civil, criminal and regulatory matters, frequently in the Southern and Eastern Districts of New York. Her cases have involved allegations of public corruption, securities fraud, mail and wire fraud, SEC investigations, securities class actions and complex commercial litigations. Ellen has tried criminal cases to verdict and arbitrations to final decisions. Mr. Richard J. Morvillo is a former branch chief with the SEC’s Division of Enforcement and is a nationally recognized expert in SEC enforcement and other white collar matters. He has extensive experience in FCPA cases, securities-related white collar criminal matters and private securities litigation. Mr. Andrew J. Morris has extensive experience handling high-stakes securities litigation, financial services litigation and other complex financial disputes. He represents clients in civil litigation and in matters initiated by regulators such as the SEC, banking agencies and the Department of Justice. Mr. Morris handles matters involving securities laws, financial services laws, professional liability and corporate governance, as well as RICO, the FCPA and various business torts. Lastly, Mr. Daniel Nathan has served for 25 years as a senior enforcement official with FINRA, the SEC and the CFTC. In private practice, he advises clients facing FINRA and SEC examinations and enforcement investigations related to broker-dealer supervisory procedures, sales practices, anti-money laundering, product disclosure and supervision, and securities and broker registration. Also joining Orrick are counsel Henry “Pete” Putzel III, Jason Somensatto and Savannah Stevenson. To learn more about these new partners and their various achievements, please visit Orrick's website: www.orrick.com/

Veteran FINRA Enforcer Emily Gordy Joins McGuire Woods in Washington

Posted on 2018-02-15

Emily P. Gordy, who managed enforcement operations at FINRA and served as chief regulatory counsel for the nation’s largest independent broker-dealer, has joined McGuireWoods’ commercial litigation practice as a partner in Washington, D.C. Ms. Gordy counsels broker-dealer and investment adviser clients, drawing on her nearly three decades of experience in securities regulation. She joins a cross-practice team of former government insiders, senior in-house counsel and seasoned litigators assisting broker-dealers and investment advisers in regulatory compliance, investigations and litigation. Ms. Gordy held senior executive roles during her 14-year career in FINRA’s enforcement and examination departments, where she led efforts to resolve investigations and disciplinary actions; managed a 75-member regional team that handled more than 700 disciplinary matters annually; and provided counsel on policy issues, including anti-money laundering, supervision, suitability and other sales practice issues. She also led the enforcement integration team responsible for consolidating the regulatory enforcement functions of the National Association of Securities Dealers (NASD) and the New York Stock Exchange in 2007. To learn more about Emily P. Gordy, and her various achievements, please visit McGuire Wood's website: www.mcguirewoods.com/

Robert K. Jamieson Named Shareholder at Wiand Guerra King

Posted on 2018-02-02

The law firm of Wiand Guerra King PL is pleased to announce that Robert K. Jamieson, who has been with the firm since its inception, has been named a shareholder of the Firm. Mr. Jamieson concentrates his practice on the litigation of complex commercial disputes with an emphasis on the representation of financial services institutions and professionals in civil and regulatory matters. He is peer rated AV Preeminent by Martindale Hubbell, its highest rating, and has been recognized as a Rising Star by Florida Super Lawyers since 2013. He is a barrister in the William Reece Smith Litigation American Inn of Court and Co-Chair of the Hillsborough County Bar Association Securities Law Section. Mr. Jamieson is also active with and has previously spoken before the Financial Markets Association. To learn more about Robert K. Jamieson, and his various achievements, please visit Wiand Guerra King PL's website: www.wiandlaw.com/

Bates Welcomes New Experts & Consultants

Posted on 2018-02-01

Bates Group is proud to introduce our new experts and consultants: David Gibbons, Allen Margolius, Robert Morris, Daniel Perkins, Ricardo Ramos and Lloyd Wennlund. Bates Group expert and consultant David D. Gibbons is an accomplished financial services executive with over 40 years of experience as a former senior banking regulator (both policy and supervision), Chief Risk Officer, banking consultant (shadow regulator), and testifying expert. Prior to joining Bates, Mr. Gibbons served as Managing Director for Alvarez and Marsal’s Financial Industry Advisory Services and Promontory Financial Group. As the Chief Risk Officer for HSBC Holdings for North America, he led the implementation of advanced risk management practices and programs. Allen Margolius is a Bates Group expert and consultant with broad knowledge of the investment management industry. He has a successful long-term track record in fundamental equity analysis, portfolio construction and management, institutional marketing and client service. Before joining Bates, Mr. Margolius was Senior Vice President of Research at Palisade Capital Management, where he invested in dynamic companies focusing on new product, strategy, acquisition, management or regulatory change. Beyond investing, Mr. Margolius has also been involved in client service to various audiences including institutional consulting firms, pension boards, and large platforms. Robert Morris is an expert and consultant with Bates Group, where he uses his OFAC/BSA expertise as an Anti-Money Laundering Compliance Officer (AMLCO) to provide financial services consulting and testimony, primarily for broker-dealers. Mr. Morris has over 30 years of industry experience as a Regulatory Compliance Consultant and Project Manager, leading engagement teams in diverse financial institutions and providing BSA/AML, Global Economic Sanctions, Risk Management, Financial Crimes and Forensic Investigations subject matter expertise. He has consulted financial regulatory compliance programs at over a dozen financial institutions and has managed numerous compliance teams across the country. Mr. Morris has also served recently as a FINRA arbitrator. Bates Group consultant and expert Daniel Perkins has over 30 years of life underwriting experience at both the direct and reinsurance level. Mr. Perkins has testified in civil and arbitration matters, including before State Circuit, Superior and Supreme Courts, and in U.S. District Court. Mr. Perkins’ work as an expert witness has included issues involving material misrepresentation (financial and medical), investor owned-policies, life mortality/expectancy, and reinsurance disputes. Additionally, his background as an attorney allows him to blend together the two disciplines to produce analytical opinions that discuss life underwriting issues in a manner that is easily understood and within the legal framework to meet the needs of counsel and other professionals. Ricardo N. Ramos is an expert and consultant with Bates Group specializing in capital markets, fixed income, investment management and corporate governance. Mr. Ramos began his career in the audit division of Arthur Andersen and Co. From there, he moved on to positions at Drexel Burnham, Lehman Brothers, Citibank, Oriental Finance Group, and Reliable Financial Services (a subsidiary of Wells Fargo), all in Puerto Rico. As a consultant, Mr. Ramos has testified in over twenty FINRA arbitrations and before the SEC. Lloyd Wennlund is a Bates Group expert and consultant with over 31 years of experience in the Financial Services Industry. Prior to joining Bates Group, Mr. Wennlund spent almost 28 years with The Northern Trust Company where he was most recently Executive Vice President. For over 22 years, Mr. Wennlund was President of the $150 billion mutual fund complex, Northern/Northern Institutional Funds. While at Northern, he was also President/CEO of Northern Trust Securities (NTSI), a Full-Service Broker/Dealer serving Wealth Management and Institutional clients. Mr. Wennlund has significant experience working with various regulatory bodies including the SEC, FINRA, OCC, Federal Reserve, DOL and others. To learn more about these experts and consultants and their various achievements, please visit Bates Group's website: www.batesgroup.com/experts/

DLA Piper Adds former Holland & Knight Attorney Joel Athey as Partner in its Los Angeles Office

Posted on 2018-02-01

DLA Piper is pleased to announce that Joel Athey has joined the firm's litigation practice as partner in its Los Angeles office. Mr. Athey, who previously served as the managing partner of Holland & Knight LLP's Los Angeles office, focuses his practice on white collar criminal defense, US Securities and Exchange Commission enforcement, private securities litigation, internal corporate investigations, banking and regulatory investigations and litigations, consumer protection matters and complex civil litigation. He represents companies conducting internal investigations of alleged wrongdoing and advises companies on compliance matters. He also represents companies and individuals in SEC and FTC investigations and enforcement actions. In addition, he represents clients in a wide range of civil litigation matters, including defending legal professionals against fraud-based allegations and venture capitalists accused of misleading investors. He works with companies and banks in defending securities litigations. Mr. Athey has also represented officers and directors of failed financial institutions in criminal and regulatory investigations, and in post-takeover FDIC proceedings. To learn more about Joel Athey, and his various achievements, please visit DLA Piper's website: www.dlapiper.com

Capital Forensics Inc. Expands Legal and Regulatory Consulting Capabilities with Addition of Noted Attorney Noah Sorkin

Posted on 2017-12-14

Capital Forensics Inc. is pleased to announce that Noah Sorkin – a well-recognized legal authority in the financial services industry – has joined the firm as a Senior Advisor, adding professional depth to CFI’s ability to provide financial services firms with a broad range of legal and regulatory solutions. Mr. Noah Sorkin has more than 30 years of experience in financial services, most recently having served as Executive Vice President and General Counsel for AIG Advisor Group in New York, where he was responsible for all legal, regulatory and related risk-management issues within a network of four broker-dealer / investment advisory firms and 5,000 affiliated Registered Representatives. Previously, he was associated with other nationally recognized firms, including Fidelity National Financial, Oppenheimer & Co., and Prudential Securities, Inc. To learn more about Noah Sorkin and his various achievements, please visit Capital Forensics' website: www.capitalforensics.com

Leading FinTech Team Joins McDemortt Will & Emery

Posted on 2017-12-14

McDermott Will & Emery is pleased to announce that FinTech lawyer and thought leader Lee Schneider has joined as partner in the firm's Financial Institutions Advisory Practice Group. Mr. Lee will be based in the firm's New York, NY office and leads a team including partner Lilya Tessler and associate Verity A. Van Tassel Richards. The new McDermott Will & Emery attorneys bring a strong background in broker-dealer regulation, advising clients on operations of broker-dealers and alternative trading systems, SEC and FINRA inquiries, cross border regulatory issues, and the structuring and development of policies and procedures for companies in their start-up phase. Prior to joining McDermott Will & Emery, Mr. Lee most recently served as head of Debevoise & Plimpton’s Broker-Dealer and FinTech practices. He is a recognized FinTech attorney and regularly assists financial services and other firms in token offerings associated with blockchain projects. He is also the author of Coinbase’s widely read guidance: “A Securities Law Framework for Blockchain Tokens. To learn more about Lee Schneider, his team and his various achievements, please visit McDermott Will's website: www.mwe.com

Thomas A. Roberts Joins Bressler Amery & Ross

Posted on 2017-10-25

Bressler Amery & Ross is pleased to announce that Thomas A. Roberts has joined the firm's New York, NY office where he will serve as a Principal in its Securities and Securities Litigation practices. Previously a partner at the New Orleans firm of Barrasso Usdin Kupperman Freeman & Sarver, Mr. Roberts focuses his practice on complex commercial litigation with an emphasis on defending securities brokerage firms, financial services firms and professionals. Mr. Roberts also represents telecommunications clients in litigation and regulatory matters. He has appeared extensively in federal and state courts and in arbitration proceedings before all major self-regulatory organizations, and private dispute resolution organizations. To learn more about Thomas A. Roberts and his various achievements, please visit Bressler's website: www.bressler.com

Nelson Mullins Riley & Scarborough Nabs former SEC Chief Counsel Thomas Ferrigno

Posted on 2017-10-25

Nelson Mullins Riley & Scarborough is pleased to announce that Thomas A. Ferrigno has joined the Firm’s White Collar Defense and Government Investigations Practice Group as a partner. Mr. Ferrigno, who was most recently a partner at Brown Rudnick, will share his time between the New York and Washington, D.C. offices. Mr. Ferrigno, who held the position of chief counsel in the Securities and Exchange Commission’s (SEC) Division of Enforcement before entering private practice, has more than 30 years’ experience representing clients in enforcement matters. He has represented public companies, broker-dealers, investment advisers, and individuals in investigations conducted by the SEC, the Department of Justice, FINRA, and other government authorities. To learn more about Thomas A. Ferrigno and his various achievements, please visit Nelson Mullin's website: www.nelsonmullins.com

Scott Thomas Joins Winston Strawn's Dallas Office

Posted on 2017-10-25

Winston & Strawn is pleased to announce Scott Thomas has joined the firm as a partner in the Dallas office. A trial lawyer with substantial experience in commercial litigation, securities litigation, and shareholder disputes in federal and state courts in Texas, New York, and California, Scott joins Winston after leaving Fish & Richardson earlier this year. Scott has represented public and closely held companies, as well as individuals, in areas such as securities, fiduciary duty, fraud, minority shareholder claims, trade secrets, insurance coverage, and breach of contract. To learn more about Scott Thomas and his various achievements, please visit Winston Strawn's website: www.winston.com

Taylor J. Altman Joins Keesal Young & Logan

Posted on 2017-09-05

Keesal Young & Logan is pleased to announce that Taylor J. Altman has joined the firm as an Associate in its San Francisco, CA office. Ms. Altman focuses her practice on a broad range of civil litigation matters in the securities, employment and mortgage banking industries. To learn more about Taylor J. Altman and her various achievements, please visit Keesal Young & Logan's website: www.kyl.com

Quinn Emanuel Urquhart & Sullivan Adds Former SEC Deputy Chief of Staff

Posted on 2017-09-05

Quinn Emanuel Urquhart & Sullivan is pleased to announce that Michael Liftik has joined the firm as a partner based in the firm’s Washington, D.C. office, after nearly a decade with the Securities and Exchange Commission. Mr. Liftik focuses on government and internal investigations, regulatory enforcement defense, securities litigation, and cybersecurity. Michael has extensive experience as a securities litigator, having worked on major securities regulatory crises, including market timing and late trading, stock options backdating, and the financial crisis. Before joining the firm, Michael was the Deputy Chief of Staff of the SEC, where he served as a senior legal advisor to Chair Mary Jo White on all aspects of the SEC’s operations, including enforcement, regulatory policy, compliance exams, agency strategy and direction, as well as the day-to-day management of the agency. To learn more about Michael Liftik and his various achievements, please visit Quinn Emanuel's website: www.quinnemanuel.com

Blaine Bortnick Joins Rasco Klock Perez & Nieto LLC

Posted on 2017-06-21

After nearly 25 years at Liddle & Robinson, Mr. Blaine Bortnick has joined the law firm Rasco Klock Perez & Nieto LLC, in order to establish the firm's New York, NY office. At Rasco Klock, Mr. Bortnick will continue to represent individuals and companies in a wide range of employment, securities and commercial litigation matters in federal and state courts throughout the United States, as well as before arbitration tribunals both in the United States and abroad. To learn more about Blaine Bortnick and his various achievements, please visit Rasco Klock's website: www.rascoklock.com To contact Mr. Bortnick, please call or email him at: Phone: 212-856-7237; Email: bbortnick@rascoklock.com

Jones Day Adds Capital Markets Partner Emily Leitch to its Houston Office

Posted on 2017-06-21

Jones Day LLP is pleased announce that Emily Leitch has joined the Firm's Capital Markets Practice as partner in its Houston, TX office. A lawyer with significant experience in highly complex transactions, Ms. Leitch counsels clients on capital markets activities, corporate governance matters, securities law compliance, M&A, and financial restructurings. Her experience includes initial public offerings, private investment in public equity transactions (PIPEs), and other public and private offerings of common and preferred equity securities. Ms. Leitch has also represented both buyers and sellers in a broad range of M&A transactions, including stock and asset purchases and sales, joint ventures, and private equity investments. To learn more about Emily Leitch and her various achievements, please visit Jones Day's website: www.jonesday.com

Former SEC Chief of Staff Lona Nallengara Returns to Shearman & Sterling

Posted on 2017-06-21

Shearman & Sterling has strengthened its capital markets and corporate governance practices with the return of Lona Nallengara as partner in their New York, NY office. Mr. Nallengara has extensive experience representing companies, financial institutions and their boards on corporate governance, disclosure, and securities law compliance matters and on the financial regulatory process. He also advises companies and financial institutions on all aspects of public and private offerings of equity, equity-linked, high yield debt and investment grade debt securities. Prior to returning to Shearman & Sterling, Mr. Nallengara served as Chief of Staff to then-SEC Chair Mary Jo White from 2013 to 2015, where he was the top advisor to the Chair on all issues, including policy development, rulemaking, strategy and management. During this time, he led the rulemaking and implementation efforts related to all mandates under the Dodd-Frank and JOBS Acts and directed the SEC's asset management, market structure, public company disclosure effectiveness and private offering reform programs. He also served as the SEC Deputy to the Financial Stability Oversight Council and was the primary SEC liaison with other financial regulators. To learn more about Lona Nallengara and his various achievements, please visit Shearman & Sterling's website: www.shearman.com

Nancy Hendrickson of the Hendrickson Law Firm Joins Kaufman Dolowich Voluck LLP

Posted on 2017-06-02

Kaufman Dolowich Voluck LLP is pleased to announce that Nancy Hendrickson, formerly of the Hendrickson Law Firm, has joined the firm as partner in its Chicago, IL office as of May 1, 2017. Nancy L. Hendrickson focuses her practice in the area of securities litigation, having prosecuted and defended complex securities fraud, antitrust and fraudulent conveyance cases; matters involving margin, liquidation and market manipulation issues; and customer complaints alleging churning, unauthorized trading or suitability claims. Ms. Hendrickson has also represented clients in connection with investigations, disciplinary actions and enforcement proceedings initiated by self-regulatory organizations, state securities commissioners and the Securities and Exchange Commission. To learn more about Nancy Hendrickson and her various achievements, please visit Kaufman Dolowich's website: www.kdvlaw.com

McDermott's Milan Office Sees Major Boost with Arrival of New Corporate & Transactional Team

Posted on 2017-06-02

International law firm McDermott Will & Emery is delighted to announce the arrival of one of the best known corporate teams in Italy. The new arrivals, comprised of three partners, Giancarlo Castorino, Ettore Scandale and Emidio Cacciapuoti, will significantly strengthen the Firm’s Italian capabilities in the area of transactions. Mr. Giancarlo Castorino specializes in banking and finance law, with a particular focus on real estate, property finance, acquisition finance and restructuring. He has assisted numerous major Italian and foreign banks and large companies in relation to a wide range of structured finance transactions. He has also been involved in complex acquisitions and disposals of distressed claims portfolios. Mr. Ettore Scandale specializes in corporate law with a special focus on private equity. He advises national and international corporations, investment funds, financial institutions, family offices across a wide range of sectors, including private equity, financial services, healthcare and life sciences. He also advises on portfolio management, financing and exit strategies. Mr. Emidio Cacciapuoti specializes in regulatory aspects of funds and private equity fund structures and carried-interest plans, including taxation. He also deals with tax issues related to financing and securitisation transactions. His clients include domestic and international companies, private equity houses, financial services companies and family offices across a variety of sectors. Prior to joining McDermott Will & Emery, Mr. Castorino, Mr. Scandale and Mr. Cacciapuoti were partners in the Milan office of King & Wood Mallesons. To learn more about these attorneys and their various achievements, please visit McDermott Will & Emery's website: www.mwe.com

CFTC Acting Chairman Giancarlo Appoints James McDonald as Enforcement Director

Posted on 2017-04-26

U.S. Commodity Futures Trading Commission (CFTC) Acting Chairman J. Christopher Giancarlo is pleased to announce the appointment of James McDonald as the Director of the agency’s Enforcement Division. Mr. McDonald joins the CFTC from the U.S. Attorney's Office for the Southern District of New York, where he served as an Assistant U.S. Attorney and most recently in the Public Corruption Unit. While at the U.S. Attorney's Office, Mr. McDonald prosecuted a wide variety of cases, including serving as a member of the trial team that successfully prosecuted former Speaker of the New York State Assembly Sheldon Silver for public corruption offenses. To learn more about James McDonald and his various achievements, please visit CFTC's website: www.cftc.gov

Supervisory Trial Counsel David Axelrod Joins Ballard Spahr

Posted on 2017-04-26

Ballard Spahr LLP is pleased to announce that David L. Axelrod will join the firm as partner in its Litigation Department. Prior to joining Ballard Spahr, Mr. Axelrod served as Supervisory Trial Counsel for the Philadelphia Regional Office of the U.S. Securities and Exchange Commission (SEC) and a former federal prosecutor. While at the SEC, Mr. Axelrod supervised all aspects of litigation, advised on investigations of potential securities law violations, worked with U.S. Attorney’s Offices across the country on coordinated investigations, and led nationwide insider trading training for SEC staff. He directed strategy and tactics for an active roster of cases involving insider trading, investment fraud, accounting fraud, and market manipulation. He also served as lead counsel in cases that went to trial, where he secured million-dollar judgments. To learn more about David L. Axelrod and his various achievements, please visit Ballard Spahr's website: www.ballardspahr.com

Foley Adds Securities Enforcement Team in New York

Posted on 2017-04-26

Foley & Lardner LLP is pleased to announce that Jeremy Freeman and Allison Charney have joined the firm’s Securities Enforcement & Litigation Practice as partners in the New York office, along with their team of attorneys, an analyst and administrative staff. The team brings considerable government investigations experience and a particular focus on allegations of financial fraud matters in the investment banking space. Mr. Freeman and Ms. Charney represent financial institutions in regulatory and criminal investigations by various government entities and self-regulatory organizations, including the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Commodity Future Trading Commission (CFTC) and New York State Attorney General, among others. They also advise clients in the emergent fields of financial technology, cybersecurity and other areas where technology intersects with the financial services industry. To learn more about Jeremy Freeman and Allison Charney and their various achievements, please visit Foley & Lardner's website: www.foley.com

Former SEC Chair Mary Jo White Returns to Debevoise & Plimpton

Posted on 2017-03-28

Debevoise & Plimpton LLP is pleased to announce that Mary Jo White will return to the firm as Senior Chair. Prior to serving as Chair of the SEC, Ms. White served as Chair of Debevoise & Plimpton's Litigation Department from 2002 to 2013. Ms. White will focus her practice on counseling boards of directors and representing clients on significant and sensitive matters, including companies facing crises involving multi-faceted government investigations and cases. Ms. White also brings along with her, Andrew J. Ceresney, who served under Ms. White as the Director of the Division of Enforcement at the SEC. To learn more about Mary Jo White and her various achievements, please visit Debevoise & Plimpton's website: www.debevoise.com

RELOCATIONS/NAME CHANGE: Gelb & Gelb

Posted on 2017-02-21

Gelb & Gelb is pleased to announce the relocation of its main office to: 900 Cummings Center, Suite 207-V, Beverly, MA 01915. Phone: 617-345-0010. Fax: 617-345-0009. For further information about this firm please visit Gelb & Gelb's website: www.gelbgelb.com

Phillips Lytle LLP Moves to the Heart of New York City

Posted on 2017-02-21

Phillips Lytle LLP is pleased to announce that, their new New York, NY office is now located at 340 Madison Ave, 17th Floor, New York, NY 10173. Phillips Lytle's new Madison Ave office is at the heart of countless cultural, architectural, dining and shopping options - as well as NYC icons such as Grand Central Station, Bryant Park and Rockefeller Center. Although they are changing their location, Phillips Lytle LLP remains committed to providing the highest level of client service. To learn more about this firm, please call, Phone: 212-759-4888 or visit Phillips Lytle's website: www.phillipslytle.com

Rottenberg Lipman Rich P.C.

Posted on 2017-01-18

Rottenberg Lipman Rich P.C. is pleased to announce that, after almost 24 years at 369 Lexington Avenue, we have moved our New York office to The Helmsley Building, directly north of Grand Central Terminal. Our new address is: Rottenberg Lipman Rich P.C., The Helmsley Building, 230 Park Avenue, 18th Floor, New York, NY. 10169. For further information about this firm please call, Phone: 212-661-3080 or visit Rottenberg Lipman Rich's website: www.rlrpclaw.com

Kutak Rock LLP

Posted on 2016-06-01

Kutak Rock LLP is pleased to announce that effective May 23, 2016, Kutak Rock's new address for its Washington, DC office address will be: Kutak Rock LLP, 1625 Eye St. NW, Suite 800, Washington, DC. For further information about this firm please call, Phone: 202-828-2400. Fax: 202-828-2488. or visit Kutak Rock's website: www.kutakrock.com

Kenny Nachwalter PA

Posted on 2016-02-25

Kenny Nachwalter PA is pleased to announce that as of March 14, 2016, Kenny Nachwalter's new Miami, FL office address will be: Kenny Nachwalter PA, Four Seasons Tower, 1441 Brickell Avenue, Suite 1100, Miami, FL. 33131. For further information about this firm please call, Phone: 305-373-1000. or visit Kenny Nachwalter's website: www.knpa.com

Shustak Reynolds & Partners

Posted on 2015-09-02

Shustak & Partners is pleased to announce that as of September 1, 2015 Shustak & Partners, a leading law firm with a national practice focused in the areas of securities, financial services and business law, is now Shustak Reynolds & Partners PC. Their location at 401 West "A" St., Suite 2250, San Diego, CA 92101 will remain the same. For further information about this firm please call, Phone: 619-696-9500. Fax: 619-615-5290. or visit Shustak Reynolds' website: www.shufirm.com

Norton Rose Fulbright

Posted on 2015-01-29

Norton Rose Fulbright LLP is pleased to announce that as of January 21,2015 they have changed their legal name from Fulbright & Jaworski LLP to Norton Rose Fulbright US LLP. The firm has made this change to strengthen the global brand of Norton Rose Fulbright and to eliminate any confusion in the marketplace. For further information about this firm please call, Phone: 212-318-3000 or visit Norton Rose Fulbright's website: www.nortonrosefulbright.com

Crowe & Dunlevy

Posted on 2014-08-27

Crowe & Dunlevy is pleased to announce the relocation of their office to 324 North Robinson Avenue, Braniff Building, Suite 100, Oklahoma City, OK. 73102. Phone: 405-235-7700. Website: www.crowedunlevy.com

ANNOUNCEMENTS: Best Lawyers Recognizes 71 Moore & Van Allen Attorneys

Posted on 2017-12-14

Moore & Van Allen is pleased to announce that 71 attorneys representing each of the Firm’s offices were listed in The Best Lawyers in America 2018. Additionally, Financial Services Member C. Wayne McKinzie was named a Best Lawyers 2018 Banking & Finance Law “Lawyer of the Year” in Charlotte; Corporate Member Hal A. Levinson was named a Best Lawyers 2018 Corporate Law “Lawyer of the Year” in Charlotte; and Corporate Member Ashley Steele Nutley was named a Best Lawyers 2018 Banking & Finance Law “Lawyer of the Year” in Charleston. To see the complete list of 71 attorneys and their various achievements, please visit Moore & Van Allen's website: www.mvalaw.com

Ailen Cruze Selected to 2017-2018 Leadership Institute Class of The Hillsborough County Bar Association

Posted on 2017-12-14

Wiand Guerra King is pleased to announce that Ailen Cruz was accepted into the 2017-2018 Leadership Institute Class of the Hillsborough County Bar Association. The HCBA Leadership Institute identifies attorneys within the Tampa Bay area who have the potential to develop into Bar and community leaders. The Leadership program includes a development program; leadership development activities; networking with other attorneys and the public; and volunteer opportunities within the community. Ms. Cruz's practice includes complex commercial disputes and regulatory matters, with a focus on securities and financial services litigation. She represents securities broker/dealers, investment advisors, and their associated persons in federal and state court and in arbitration. To learn more about Ailen Cruz and her various achievements, please visit Wiand's website: www.wiandlaw.com

MarketCounsel Wins WealthManagement.com 2017 Industry Award for its RIA Incubator

Posted on 2017-10-25

Brian Hamburger and his firm MarketCounsel have been named the 2017 Industry Award Winner in the Outstanding Achievement in Compliance Consulting' category by WealthManagement.com. The Industry Awards honor outstanding achievements by companies and organizations that support financial advisor success. MarketCounsel earned the award for its RIA Incubator™, a program that, since the firm's inception, has breathed life into the dreams of financial advisors who long for independence. MarketCounsel's RIA Incubator is designed to give visionary prospective owners the consulting and resources they need to confidently launch a firm that is custom-built from scratch to their precise specifications. In response to the achievement, Mr. Hamburger, founder and CEO of MarketCounsel stated: We are honored to be recognized by WealthManagement.com for our work in continuously evolving and improving the RIA Incubator to meet the exacting needs of the most successful financial industry executives turning to entrepreneurship. To learn more about MarketCounsel and its RIA Incubator program, please visit MarketCounsel's website: www.marketcounsel.com

Five Duane Morris LLP Lawyers Named Best of the Bar: Philadelphia's Top Lawyers List

Posted on 2017-10-25

Duane Morris LLP is pleased to announce that five of its attorneys have been recognized by the Philadelphia Business Journal’s inaugural “Best of the Bar: Philadelphia’s Top Lawyers” list. Rudolph “Skip” Di Massa, Chair of Duane Morris’ Business Reorganization and Financial Restructuring Practice Group; Nicole McLaughlin, Chair of the firm’s Trademark, Copyright, Entertainment and Advertising Practice Group; Jonathan Segal, Partner in the Employment, Labor, Benefits and Immigration Practice Group and managing principal of the Duane Morris Institute; Kathleen Shay, Partner in the Corporate Practice Group; and Matthew Taylor, Vice Chairman of the firm and Incoming Chairman and CEO, are honored for their significant and recent achievements. To learn more about these attorneys and their various achievements, please visit Duane Morris's website: www.duanemorris.com or visit Philadelphia Business Journal's website: www.bizjournals/philadelphia.com

Jeffrey E. Schaff is Awarded the Emerald Publishing's Literati Award for Excellence

Posted on 2017-06-02

Jeffrey E. Schaff, a fiduciary duty expert, principal of Ardor Fiduciary Services and President of The Securities Experts Roundtable, has, together with co-author Michele L. Schaff, been awarded Emerald Publishing's Literati Award for Excellence - 2017, for their Outstanding Paper, published in the Journal of Investment Compliance (Vol. 17, No. 1) and entitled, "Best Interest of Whom?" The article, the first of two critical of the DOL Fiduciary Rule, will be the subject of an "Article Summary" in the next edition of SAC and is currently available in full text at: emeraldgrouppublishing.com/authors/literati/awards.htm?year=2017&journal=joic

Lawyers of Wiand Guerra King Go Three-for-Three with Pro-Bono Clemency Petitions

Posted on 2017-02-06

The lawyers of Wiand Guerra King PL over the past eighteen months have undertaken, on a pro-bono basis, the task of filing clemency petitions with the Justice Department's clemency project for prisoners serving draconian sentences under prior administrations. Lawyers of Wiand Guerra filed clemency petitions on behalf of three non-violent prisoners who were serving lengthy sentences, including two prisoners serving life sentences without the possibility of parole who would have never been released from prison during their lifetimes. Due to the work of the firm's lawyers, one of these individuals has been released, a second is set to be released next month, and a third had his sentence commuted from life without parole to 262 months after already having served more than half of that sentence. This accomplishment is notable considering that President Obama has only granted approximately 5% of clemency petitions submitted during his administration. Jordan Maglich, Matthew Mueller and Dominique Heller were instrumental in preparing these petitions with the encouragement and support of Burton Wiand. Mr. Wiand, Wiand Guerra's Chairman, stated: "correcting injustice is one of the most satisfying tasks that a lawyer can undertake. WGK is proud of the efforts of its lawyers in assisting these three individuals." For more information regarding Wiand Guerra King PL, please visit their website: www.wiandlaw.com/

John R. Snyder Launches New Website

Posted on 2017-02-06

Mr. John R. Snyder is pleased to announce the launch of his new website and startup practice Snyder Resolutions LLC. Snyder Resolutions provides information regarding Mr. Snyder's qualifications and experience and on the services that he offers. Drawing on skills and knowledge developed over the years and through his experiences, Mr. Snyder will continue to defend and prosecute commercial and financial litigation and arbitrations. In addition, Mr. Snyder will build on his skills and knowledge by offering his services as a trained mediator. Snyder Resolutions' website will from time to time provide useful news and analysis about developments and issues in arbitration, mediation, litigation, securities law, administrative law and other areas. To learn more about Mr. Snyder and Snyder Resolutions LLC, please visit the website: www.snyderresolutions.com/

Stradley Ronon Named Top Litigation Department for Midsize Firms by The Legal Intelligencer

Posted on 2016-12-05

Stradley Ronon Stevens & Young is proud to announce that they have been honored as the top litigation department among Pennsylvania's midsize law firms by The Legal Intelligencer. The publication chose the winners "based on the big victories and important cases that demonstrated why clients chose them when litigation was on the table." Stradley Ronon was praised for its "emphasis on efficiency" and ability to determine the issues most important to a client. To learn more about Stradley Ronon, their attorneys, and their various achievements, please visit Stradley Ronon's website: www.stradley.com/

Shustak Reynolds & Partners Recognized in Best Lawyers and San Diego Magazine

Posted on 2016-10-17

Shustak Reynolds & Partners PC is pleased to announce that several of our partners have received the following recognitions: Erwin Shustak was recently selected by his peers for inclusion in the 2017 edition of "The Best Lawyers in America" for his work in Financial Services Regulation Law. Jonah Toleno has been named a finalist for San Diego Magazine's 2016 Woman of the Year Awards. San Diego Magazine's Woman of the Year Award is given to one woman each year who has worked tirelessly to affect positive change and enhance the community. Jonah is an unabashed leader, champion of helping others, and widely respected by her peers for her measurable success in business and outstanding character. We congratulate Erwin and Jonah on the recognition of their hard work, dedication and commitment to our profession! To learn more about Mr. Shustak and Ms. Toleno and their various achievements, please visit Shustak Reynolds website: www.shufirm.com/

Former Sutherland Asbill & Brennan Attorney Starts New Firm

Posted on 2016-08-11

Scott Holcomb and Bryan Ward are proud to announce the start of their new partnership: Holcomb + Ward LLP. Scott, Bryan and their associates offer effective, efficient representation for financial services litigation, FINRA arbitrations, internal investigations, and regulatory enforcement matters. To learn more about Mr. Ward and Mr. Holcomb and their various achievements, please visit Holcomb + Ward's website: www.holcombward.com/

Erwin J. Shustak Named Top Rated Commercial/Corporate Lawyer

Posted on 2016-06-01

The results are in and Shustak Reynolds & Partners is pleased to announce that our partner Erwin J. Shustak, has been selected as the best Commercial/Corporate lawyer in San Diego, CA according to a reader poll by Fine Magazine. From our front office staff, to our attorneys and paralegals, we consistently strive to do our best for our clients every day, year in, year out. We are very proud and pleased that our partner and our firm, have been recognized for our efforts. Mr. Shustak is also an active securities arbitration attorney. To learn more about Mr. Shustak and this achievement, please visit Shustak Reynolds & Partners' website: www.shufirm.com/

Erwin Shustak and George Miller named 2016 SuperLawyers

Posted on 2016-02-25

Shustak Reynolds & Partners is pleased to announce that partners Erwin Shustak and George Miller have been selected as SuperLawyers for 2016. Erwin was selected as a SuperLawyer for the 6th time and George as a Rising Star SuperLawyer for the second time. SuperLawyers selects attorneys using a multiphase selection process. Peer nominations and evaluations are combined with independent research. Each candidate is evaluated on 12 indicators of peer recognition and professional achievement. Selections are made on an annual, state-by-state basis. The final published list represents less than 5 percent of the lawyers in the state. The selection process for the Rising Stars is the same with one exception: Candidates must be under forty years of age. No more than 2.5% of attorneys in a state are selected to Rising Star status. The lists are published annually. Our firm was featured on the cover of this year's SuperLawyers edition. Congratulations Erwin and George! To learn more about these attorneys and their various achievements, please visit Shustak Reynolds & Partner's website: www.shufirm.com/

| Securities Arbitration Commentator | SAC Research Center |

|
SEARCH Back Issues-SAC | SEARCH Back Issues-SLC | View Award Survey | ARBITRATOR Research Base (ARB) |