David Mahler is an affiliate expert with Bates Group, where he uses his extensive legal, compliance and general securities industry experience to consult and testify on matters involving securities law, suitability, sales practices, supervision, trusts, employment disputes and securities products.
Before joining Bates Group, Mr. Mahler was the Chief Executive Officer for TOV Capital Markets in Miami, Florida. Mr. Mahler was responsible for the overall operation of the broker-dealer. At Global Strategic Investments, he served as the Chief Compliance Officer and AML Compliance Officer where he oversaw all aspects of the company’s compliance with securities laws, rules and regulations. During his tenure with SG Americas Securities, the U.S. broker-dealer subsidiary of Societe Generale, Mr. Mahler was responsible for the regulatory compliance of equity derivatives including responding to inquiries from the SEC, NYSE, NASD (now FINRA), CFTC, NFA, and ISE, advising the company regarding regulatory requirements, developing supervisory and compliance procedures for new business lines and rule changes, and updating and developing new surveillance reports.
As an arbitrator, Mr. Mahler has decided approximately 40 binding arbitration cases for the NASD (now FINRA) and the Pacific Stock Exchange. Mr. Mahler has represented parties as an attorney in federal and state court, CFTC reparations proceedings, NASD/FINRA arbitrations, Pacific Stock Exchange arbitrations and NFA arbitrations.
TOV Capital Markets, Inc., Chief Executive and Compliance Officer, 2011 – 2013
Global Strategic Investments, LLC, Chief Compliance Officer, 2009 – 2011
TradeStation Securities, Inc., Chief Compliance Officer, 2006 – 2008
SG Americas Securities, LLC, Director, Equity Derivatives Compliance, 2005 – 2006
AXA Advisors, LLC, Vice President and Director of Compliance, 1999 – 2005
Prime Charter, Ltd., General Counsel and Chief Compliance Officer, 1997 – 1998
Mahler & Associates, Owner / Securities Attorney, 1995 – 1997
Yaeger Securities, Inc., Chief Compliance and Financial Officer, 1992 – 1995
Mahler & Associates, Securities Compliance Consultant, 1990 – 1992
Quest Capital Strategies, Inc., Vice-President, 1988 – 1990
Glenfed Brokerage, Inc., Trading Manager, 1986 – 1987
Charles Schwab & Co., Inc., VIP Trader, 1983 – 1986
Merrill Lynch, Account Executive, 1981 – 1982
Thomson Mckinnon Securities, Inc., Cashier, 1980
New York University School of Law, LL.M. Corporate Law, 2002
Whittier Law School, Los Angeles, CA, J.D., 1995
California State University, Northridge, Accounting, 1976 – 1980
Series 3 Commodity Futures Representative
Series 4 Options Principal
Series 7 General Securities Representative
Series 9 NYSE Options Sales Supervisor / Branch Manager
Series 10 NYSE General and Municipal Sales Supervisor / Branch Manager
Series 14 NYSE Compliance Official Examination
Series 15 Currency Options Representative
Series 24 General Principal
Series 27 Financial and Operations Principal
Series 30 Futures Branch Manager
Series 53 Municipal Principal
Series 55 Equity Trader Examination
Series 63 Uniform Securities State Law Examination
Series 65 Uniform Investment Advisor Examination
Series 79 Investment Banking Examination
New York
California (inactive)
U.S. District Court, Central District of California
Certified Anti-Money Laundering Specialist (CAMS) by the Association of Certified Anti-Money Laundering Specialists (ACAMS) since 2006.
Fee Selection and Reverse Churning: Overview and Practitioner Guidelines, Bates Research Group, March 2015
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