Dennis Dumas, Esq., is an expert at Bates Group who is an accomplished securities attorney and industry executive with over 25 years of law firm and corporate legal experience across multiple industries including brokerage, banking, advisory and financial services. Mr. Dumas served as Managing Counsel, Securities and Capital Markets at Bank of New York Mellon, a Fortune 200 Company, and Senior Counsel at Pillsbury Winthrop, an international law firm ranked among the top 60 of the Am Law 100. He has demonstrated accomplishments and experience in the following areas: matters before the SEC, NYSE and FINRA, 33, 34 and 40 Act Regulation and Reporting, Institutional and Retail Compliance, Banking, Advisory and Broker-Dealer Regulatory matters, Trading and Markets, Corporate Finance, Corporate Governance, Contracts, Negotiations and Litigation.
AVANZA CAPITAL MARKETS, INC., New York, NY, 2010 - present
President, General Counsel: Executive representative, legal representation of full service broker-dealer
CAPITAL MARKETS CONSULTING, Chatham, NJ, 2007 - 2009
Consultant: Capital markets and corporate counseling for institutional clients
CHADBOURNE & PARKE LLP, New York, NY, 2004 - 2006
Counsel: Counsel corporations, their boards and executives on securities and corporate matters
THE BANK OF NEW YORK MELLON (NYSE: BK), New York, NY, 1996 – 2003
Managing Counsel, Securities and Capital Markets, 1998 - 2003:
PILLSBURY WINTHROP SHAW PITTMAN LLP, New York, NY, 1988 - 1996
Senior Associate: Represented major issuer and financial services clients in securities, regulatory and transactional matter. Fortune 200 clients included Banking and Financial Services, Power and Automation, Energy and Petrochemicals, Electronics
US SECURITIES AND EXCHANGE COMMISSION, WASHINGTON, D.C., 1984 –1988
Attorney, Division of Enforcement, (1984 - 1988); Special Assistant US Attorney, (1987 - 1988)
Investigated and prosecuted securities law violations; counseled Federal Bureau of Investigation
LEWIS, MITCHELL & MOORE, Vienna, VA, 1982 – 1984; summer intern, 1981
Associate: Construction contracts, securities offerings
Duke University School of Law, Durham, NC, Juris Doctor, April 1982
Duke University Trinity College, Durham, NC, Bachelor of Science, Physics, April 1979
“The New York Department of Financial Services Announces New Enhanced AML Regulation,” Bates Compliance Solutions, Bates Group, LLC. July 2016
“DOL Fiduciary Rule Watch: The Importance of the Level Fee Exemption,” Industry News, Bates Group, LLC. June 2016
“DOL’s New Best Interest Contract Exemption,” Bates Research, Industry News, Bates Group, LLC. April 2016
“Electronic Records Retention: Getting It Right,” Compliance Week, November 2005
“Best Execution and Amended Regulation NMS,” Securities Litigation and Regulatory Enforcement Newswire, October 2005
“Variable Annuities: In the Regulatory Crosshairs,” Securities Litigation and Regulatory Enforcement Newswire, October 2005
“In My Opinion: Supervising Variable Annuities Sales,” Bank Investment Consultant, September 2004
“Targeting the Board: What’s their Liability for Risk Assessment?” Business Law Today, May-June 1997
“United States Anti-Fraud Jurisdiction over Transnational Securities Transactions: Merger of the ‘Conduct’ and ‘Effect’ Tests,” University of Pennsylvania Journal of International Business Law, Vol. 16, No. 4, 1996
“New SEC Rule Enforces Self-Regulatory Organization Qualification Standards,” Traders Magazine, June 1993
“New SEC Executive Compensation and Shareholder Communication Rules: Invitation for Controversy,” Directorship Significant Issues for 1993,” January 1993
“Avoiding Legal Malpractice and Breach of Fiduciary Duty: Financial Services,” Developed Course Materials, Presented Topic at New York County Lawyers Association Continuing Legal Education Institute, February 2018
Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.
Contact Bates Group