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Visibility Rankings  | | #101 out of 13,137 lawyers in San Francisco, California | | #9,554 out of 892,086 total lawyers Overall |
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| Practice Areas | Broker-Dealer Arbitration; Securities Litigation; Corporate Litigation; Investment Management; White Collar Criminal Defense | | | Education | Stanford University, J.D., 1986, Yale University, B.A., 1983 | | | Admitted | 1986, Maryland; 1988, District of Columbia; 1990, U.S. Court of Appeals for the District of Columbia Circuit; 1998, California; U.S. District Court, District of Colorado; U.S. Supreme Court | |
| Memberships | American Bar Association (Vice-Chair, Market Regulation Subcommittee, Committee on Federal Regulation of Securities, Business Law Section); Bar Association of San Francisco. | | | Born | 1961 | | | Biography | Former Assistant General Counsel, Office of General Counsel, Securities and Exchange Commission. Former General Counsel, Charles Schwab & Co., Inc. | | | ISLN | 908592232 | |
Articles by this firm on Martindale.com
SEC Staff Highlights Areas of Focus in Broker-Dealer, Investment Adviser and Investment Company ExamsW. Hardy Callcott, Kevin A. Zambrowicz, Roger P. Joseph, Neal E. Sullivan, Margaret Blake, August 9, 2008 On July 22, 2008, the staff in the Securities and Exchange Commission's Office of Compliance Inspections and Examinations ("OCIE"), in coordination with other SEC staff, issued its second "ComplianceAlert" letter summarizing findings from recent compliance examinations of...
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