Compliance

Created, managed, and supervised the legal team at Bank One (later acquired by J.P. Morgan Chase) with responsibility for government and SRO investigations, principally involving broker-dealer, investment advisor, and corporate security clients. Team included two attorneys and paralegals.

Other representations involving the Partners of the firm include:

Leading hedge funds and portfolio managers in a series of regulatory compliance matters in the United States and United Kingdom, which involved analyzing governing law, coordinating cross-jurisdiction legal opinions, and providing advice to clients.

A leading European bank, with respect to international regulatory compliance issues in connection with a project to develop a worldwide electronic securities-trading platform for customers in Europe and the United States.