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Douglas Woodcock

Douglas Woodcock

Douglas Woodcock is a Bates Group Testifying Expert, where he uses his 36 years of experience in asset management, capital markets, investment banking and broker-dealer senior management to provide expert consulting and testimony on complex securities litigation and arbitration issues.

Mr. Woodcock’s areas of expertise include institutional sales and trading, equity research, investment banking, corporate finance, compliance, hedge funds, market structure and regulatory issues.

Prior to joining Bates, Mr. Woodcock was a senior executive at D. A. Davidson & Co., an 86-year-old full-service broker-dealer with $50 billion in assets under management. From 2004 through 2016, he served as President of Equity Capital Markets with management responsibility for institutional sales, trading, research, investment banking and capital markets. His duties included business development and strategy, risk management, compliance, staffing and employment matters as well as actively marketing the firm’s M&A advisory, capital raising and wealth management capabilities. Upon his retirement in 2016, Mr. Woodcock was the longest-serving member of the Davidson Companies Board of Directors and a senior member of the Executive Committee and Davidson Investment Advisors Board.

Mr. Woodcock’s long career in the securities industry includes experience in retail wealth management and as a branch office manager at Dean Witter Reynolds, as well as 5 years of buy-side experience as a partner in a hedge fund. Additionally, he co-owned and managed Jensen Securities Co., an institutional research broker-dealer that was acquired by D.A. Davidson & Co. in 1998. Mr. Woodcock negotiated the sale to Davidson and led the integration effort.

While at D.A. Davidson & Co., Mr. Woodcock was actively involved in industry issues and policy through the Securities Industry and Financial Markets Association. He served on SIFMA’s Institutional Brokerage and Equity Capital Markets committees and co-chaired the SIFMA Market Structure sub-committee on Market Data Dissemination. Mr. Woodcock was one of the industry executives chosen to present SIFMA’s market structure recommendations to Chairwoman Mary Jo White and the SEC Commissioners in October 2014.

Mr. Woodcock’s many years of experience building and managing institutional equities and investment banking businesses provide him with unique insight into the challenges and opportunities the industry faces, and a comprehensive understanding of the risk management infrastructure, policies and procedures required by broker-dealers in a highly regulated environment.

Douglas is a consultant and subject matter expert in these Practice Areas and Services:

Credentials

EXPERIENCE

Bates Group LLC, Testifying Expert, 2017 - Present
D.A. Davidson & Co., Portland, OR, 1998 – Present; President of Equity Capital Markets, 2004 - Present; Managing Director, Institutional Equities, 1998-2003
Jensen Securities Co., Managing Director, Portland, OR, 1991-1998
Dakota Partners LP, Partner, Ketchum, ID, 1986-1991
Dean Witter Reynolds, Vice President, and Office Manager, Ketchum, ID, 1981-1986
A.G. Becker & Co., Operations Manager, Ketchum, ID, 1980-1981    
World Pro Ski Tour, Professional Ski Racer, 1973 - 1979    
National Ski Team of Canada, National Ski Team Member, 1969 – 1973     

EDUCATION

Bachelor of Science, University of Guelph, Guelph, Ontario

  • Attended summer semester only while on Canadian Ski Team

PROFESSIONAL QUALIFICATIONS

FINRA Registrations (as of December 31, 2016)

  • Series 3 – National Commodities Futures
  • Series 5 – Interest Rate Options            
  • Series 7 – General Securities Representative    
  • Series 8 – General Securities Sales Supervisor        
  • Series 24 – General Securities Principal    

PROFESSIONAL AFFILIATIONS

  • Davidson Companies Board of Directors, 1998 – 2016
  • Davidson Asset Management Board of Directors, 2006 – 2016
  • Co-Chair of the SIFMA Market Structure sub-committee on Market Data Dissemination, 2014
  • Presented recommendations from SIFMA Equity Market Structure Committee to Chare White and SEC Commissioners, 2014
  • SIFMA Institutional Equities Committee, 2004 – 2012
  • SIFMA Regional ECM Roundtable, 2008 – 2016
  • Presented to SIFMA Institutional Brokerage Conference on Commission Sharing Agreements, 2008
  • Worked with SIFMA ECM Roundtable and an ad hoc group of middle market investment banks to educate the industry and legislators about the dangers of HR 2274 which would have amended the Securities Act of 1934 to exempt certain M&A brokers from registration. The bill dies in the 113th Congress

Contact Bates Group

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.