Amy Bard

Amy Bard

Amy Bard is a Bates Group affiliate expert with 37 years of litigation experience in the practice of law. After starting her career at a major Wall Street firm, she served as an Assistant District Attorney at the Manhattan District Attorney’s office, where she prosecuted major narcotic traffickers resulting from investigations by the Drug Enforcement Agency. Ms. Bard has devoted the last 20 years of her legal career to litigation in the securities and financial services arenas. As in-house counsel to UBS Financial Services, and later principal at Bressler, Amery & Ross (a national firm representing major broker-dealers and Investment advisors), she gained extensive experience arbitrating before FINRA and other regulatory tribunals. Ms. Bard has tried or mediated hundreds of arbitration cases during the past 20 years—cases involving claims of unsuitable recommendations, product failure, fraud, misrepresentation, conflicts of interest, and issues relating to recruitment and termination of brokers. She helped form and lead her firm’s working group on Senior and Vulnerable Investors and has lectured and consulted on senior investor compliance issues. 

At UBS, Ms. Bard provided ongoing compliance advisory services to a retail branch of more than 250 advisors.  Those services contributed to her knowledge base of the securities industry. In addition to knowing and understanding the regulatory structure, she understands the practical day-to-day challenges of the business.  Valued by her clients for her hands-on trial experience, Ms. Bard fully understands what it takes to successfully investigate and assess facts as well as evaluate risks and plan strategies for a quick and cost-effective outcome.


Credentials

EXPERIENCE

The Law Offices of Amy Bard, Owner, 2019 – 2020

Bressler, Amery & Ross, Member, 2010 – 2019

The Law Offices of Amy Bard, Owner, 2001 – 2010

UBS Financial Services/PaineWebber, Associate General Counsel, 1997 – 2001    

Berkowitz, Lichtstein, Kuritsky Giasullo & Gross, Of Counsel, 1989 – 1997

New York County District Attorney, Assistant DA, Special Investigations Bureau, 1984 –1989

Fried, Frank Harris Shriver & Jacobson, Associate, 1982 – 1984

EDUCATION

Juris Doctor (J.D.), Rutgers University, School of Law, Newark, NJ,

Bachelor of Arts (B.A.), Hamilton College, Clinton, NY

RECENT PRESENTATIONS AND PUBLICATIONS
  • Senior & Vulnerable Investor Financial Protection and Reporting, AD Banker Webinar series, March 7, 2019
  • Senior Bootcamp for Small-Medium Sized NJ BDs and RIAs, Florham Park, NJ, November 14, 2018
  • Securities Law Alert (June 11, 2018), BAR Newsletter, “The Senior Safe Act Becomes Law”
  • Bloomberg BNA, Securities & Regulation Law Report, “Hold On! Analyzing FINRA’s New Rules to Address Senior Financial Exploitation,” April 3, 2018
  • Practicing Law Institute Corporate Law and Practice Course Handbook Series, “FINRA Expungements: Practice and Procedure,” July 2014
  • Securities Law Alert (June 27, 2013), BAR Newsletter, Recent Regulatory Actions Highlight the Importance of Complying with Email and Electronic Communications Regulations”
  • Traders Magazine Online News, January 6, 2014, “Attention HFTs:  New Rules are Coming”
Automat:ee