Mr. Conti is a consultant with Bates Group and is based in Washington, D.C. He is a former Branch Chief and Senior Counsel in the SEC's Division of Enforcement, in-house counsel for PaineWebber and Shearson Lehman Brothers, and partner at several leading law firms, including Mayer Brown LLP and Crowell & Moring LLP. Mr. Conti uses his extensive experience in financial services to help Broker-Dealers and Investment Advisors meet their regulatory and compliance obligations, prepare for regulatory inquiries and inspections, and conduct mock regulatory examinations.
Mr. Conti also provides guidance regarding prime brokerage and clearing operations; stock loan and margin lending; AML, Bank Secrecy Act, and OFAC reporting requirements; best execution practices; and “insider trading,” among other issues. He is exceptionally well-qualified to serve as an expert witness in SEC and FINRA disciplinary proceedings and securities arbitrations and to act as an Independent Consultant or Monitor mandated as a result of settlements by Broker-Dealers or Registered Investment Advisors with the SEC, FINRA, state or other securities regulators.
From 1990-1996, Mr. Conti served as Senior Counsel and Branch Chief in the SEC's Division of Enforcement in Washington, D.C. While with the SEC, he led investigations into the sale of limited partnerships to retail investors, enforcement actions for violations of Regulation T arising from the abuse of dividend reinvestment plans ("DRIPS"), proxy disclosure and Rule13D reporting violations, and Ponzi schemes. Thereafter, he was senior in-house counsel for PaineWebber (now UBS Financial Services LLC) in New Jersey and a partner in the securities regulatory and litigation practice groups of several leading law firms in Washington D.C.
As a senior regulatory attorney at PaineWebber, Mr. Conti represented the firm in enforcement investigations, responded to regulatory inquiries, conducted internal investigations, and developed a wide range of written compliance and supervisory policies and procedures (WSPs). As a partner and practicing attorney, Mr. Conti has handled numerous investigations involving the offer and sale of auction rate securities, options back-dating, financial fraud, financial reporting and disclosure, and employee misconduct on behalf of public companies and their boards of directors.
Brooklyn Law School, New York, J.D., 1985
New York University, Economics, B.A., 1982
State Bar of New York, 1986-present
District of Columbia Bar, 1991 to present
“Private Investments in Public Equity Securities (‘PIPES’),” Insider Trading Law and Compliance Answer Book (Co-Author, Practising Law Institute, 2011).
“FinCEN and SEC Sanction Broker-Dealer and Chief Compliance Officer for AML Deficiencies Relating to Foreign Sub-Accounts,” (Complinet, Oct. 6, 2010).
“Litigation and Regulatory Enforcement Risk for UK-Based Hedge Fund Managers--Will We Follow the US Experience?,” (Hedge Funds Review, June 4, 2009).
“Spotlight on Compliance: Key Issues for 2010,” Schulte Roth & Zabel, 19th Annual Private Investment Funds Seminar, New York, January 2010.
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