Mary Curran

Mary Curran

Ms. Curran is a consultant with Bates Group and is based in San Francisco, California. She uses her extensive experience in the securities industry to help broker-dealers and investment advisors meet their regulatory and compliance obligations, and she is well-qualified to serve as an Independent Monitor or Independent Consultant as settlements with the SEC, FINRA, state or other regulators may mandate. Ms. Curran also is available as an expert witness and consultant in financial service disputes and securities arbitrations regarding a wide range of regulatory, compliance, supervisory, sales practices, and employment issues.

From 2002 to 2012, Ms. Curran served as Managing Director and Chief Legal Officer for Sutton Place Management LLC, where she managed the law and compliance functions for Forward Securities, a FINRA-registered broker-dealer, and Forward Management, LLC, a Registered Investment Advisor to the Forward Funds, Separately Managed Accounts, and several private equity and hedge funds.

Before joining Sutton Place Management, Ms. Curran was a senior legal and compliance officer with Morgan Stanley. At Morgan Stanley, she served as Executive Director, Private Wealth Management and oversaw regulatory and compliance issues impacting institutional sales. She also has served as Senior Vice President and Chief Legal Officer for Morgan Stanley Online Inc., where she held direct responsibility for registration issues, regulatory audits, advertising review, privacy, anti-money laundering, and developing protocols for supervising self-directed accounts.

Prior to its merger with Morgan Stanley, Ms. Curran was Senior Vice President, Associate General Counsel with Dean Witter Discover. At Dean Witter, she managed retail and institutional litigation and regulatory proceedings and provided law and compliance training to regional, branch, and senior operations managers.

A graduate of Yale Law School, Ms. Curran began her legal career in San Francisco as an associate attorney with McCutchen, Doyle, Brown & Enersen, now Bingham McCutchen, where she represented defendants in securities class actions.

Ms. Curran has served on a National Standing Committee for the NASD and has been an active member of the FINRA panel of arbitrators since 1985.


Credentials

EXPERIENCE

Bates Group, Regulatory & Compliance Practice, October 2012 to Present

Sutton Place Management LLC, Managing Director, General Counsel, 2002 - 2012

Morgan Stanley, Inc., Executive Director, Private Wealth Management, 2001 - 2002

Morgan Stanley Dean Witter Online, Inc., Senior Vice President, General Counsel, 1999 - 2001

Discover Brokerage Direct, Inc., Senior Vice President, General Counsel, 1998 - 1999

Discover Brokerage Direct, Inc., Director of Compliance, 1997 - 1998

Dean Witter Discover Inc., Senior Vice President, Associate General Counsel, 1992 - 1997

McCutchen, Doyle, Brown & Enersen, Associate, 1981 - 1984

PROFESSIONAL AFFILIATIONS

National Association of Securities Dealers

  • Member, Standing Committee on Online Brokerage, 1999 - 2001
  • Member, FINRA Panel of Arbitrators, 1985 - Present

Securities Industry Association

  • Member, Ad Hoc Committee on Online Brokerage, 1999 - 2001

American Bar Association

  • Co-Chair, Arbitration Committee, 1996 - 1999
  • Co-Chair, Litigation Committee, 1995 - 1999
EDUCATION

Yale Law SchoolJuris Doctor

Columbia University, Ph.D.

La Sorbonne, Paris, Licence 3e Cycle

Fordham UniversityA.B.

Automat:ee