Dennis Dumas

Dennis Dumas

Dennis Dumas, Esq., 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, FINRA, 33 & 34 Act Regulation and Reporting, Institutional and Retail Compliance, Banking and Broker-Dealer Regulatory matters, Trading and Markets, Corporate Finance, Corporate Governance, Contracts, Negotiations and Litigation.


Credentials

EXPERIENCE

Avanza Capital Markets Inc., New York, New York, 2010 – present 

  • President, General Counsel: Executive representative, legal representation of full service broker-dealer
  • Securities and capital markets regulation, industry practice
  • Trading, international and domestic markets, corporate finance
  • Institutional and Retail Compliance; currently serving as Chief Compliance Officer

CAPITAL MARKETS CONSULTING, Chatham, New Jersey, 2007 – 2009 

  • Consultant: Capital markets and corporate counseling for corporate clients 
  • Registration and reporting under 34, 33, 40 Acts 
  • Strategic planning and structuring 
  • Corporate finance, mergers and acquisitions 

CHADBOURNE & PARKE LLP, New York, New York, 2004 – 2006 

  • Counsel: Counsel corporations, their boards and executives on securities and corporate matters 
  • Counsel international for profit organizations, their boards and executives on regulatory and transactional matters
  • Capital markets, reporting, new products 
  • Regulatory, compliance, and litigation 
  • Counseled Fortune 500 companies across multiple industries including international banking, finance, insurance and aerospace

THE BANK OF NEW YORK MELLON (NYSE: BK), New York, New York, 1996 – 2003 

  • Managing Counsel, Securities and Capital Markets, 1998 – 2003: 
  • Represented Fortune 200 company BNY Mellon and its broker-dealer affiliates on securities and capital markets matters 
  • Headed Securities and Capital Markets Practice Group
  • Responsible for global corporate, compliance, reporting and transactional matters 
  • Represented securities affiliates before SEC, NYSE, NASD, PHILX, FRB
  • Represented marketing and internal audit departments 
  • Senior Counsel, Corporate Services Practice Group, 1996 – 1998: 
  • Counsel to Bank and affiliates on 33 & 34 Act matters, mergers, acquisitions, securities compliance, reporting and corporate 
  • Represented Bank on major acquisitions, integration, ongoing operations and compliance 
  • Structured, built out, represented and supervised compliance for capital markets affiliates, including domestic underwriting broker dealer and U.K. affiliate, NYSE floor broker, clearing firm, bank branch retail broker dealer
  • Bond underwritings, syndicated loans, trading desks 

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, Virginia, 1982 – 1984; summer intern 1981 

  • Associate: Construction contracts, securities offerings
EDUCATION

Duke University School of Law, Durham, North Carolina, Juris Doctor, top 15%, April 1982

Duke University Trinity College, Durham, North Carolina, Bachelor of Science, Physics, April 1979

ADMISSIONS

New York, March 1989

Southern District of New York, May 1989

Eastern District of Virginia, March 1984

Virginia, October 1982

SELECTED PUBLICATIONS

“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

Automat:ee