Patrick Cox

Patrick Cox

Patrick Cox is a Bates Testifying and Consulting Expert based in San Diego, California. Patrick uses his experience in Retail Securities, Investigations, Cybersecurity, Privacy, and Compliance to serve our financial services clients and their counsel.

Prior to joining Bates, Patrick was Executive Vice President and General Counsel for Advice, Litigation and Regulatory Strategy with LPL Financial where he was responsible for all litigation, regulatory, and legal advice matters for the firm’s business units. Patrick and his team oversaw or handled all litigation for the firm, including matters involving clients, financial professionals, and competing firms. They also represented LPL in regulatory inquiries, investigations and enforcement matters from the SEC, FINRA, CFTC, and U.S. states and territories. 

In addition, Patrick and his team conducted internal investigations for the firm’s integrity hotline and other matters, provided advice on technology and third-party risk obligations, and responded to customer complaints. He was an ex-officio member of the firm’s Risk Oversight Committee for many years and provided ongoing advice to members of the Management Committee with reports to the Board of Directors on special issues. 

Patrick spent 20 years representing Morgan Stanley, Ameriprise Financial, and LPL Financial and their employees, and he handled hundreds of matters ranging from wrongful termination, raiding and recruiting, retail arbitrations, class actions, shareholder actions and internal investigations.  As a General Counsel, Deputy General Counsel, Chief Counsel, Chief Privacy Officer and Head of Infrastructure Risk Management, he also worked on many due diligence and acquisition issues at LPL and Ameriprise.   

Prior to working in-house at Morgan Stanley, Patrick was a civil litigator, an Adjunct Associate Professor at Fordham University School of Law, a law clerk at the U.S. Court of International Trade, and an Assistant District Attorney in Manhattan. He is an experienced executive and advocate who received his Juris Doctor from Fordham and his Bachelor of Arts in English from Loyola Marymount University.


icon-printer

Patrick Cox

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Broker Dealer (B-D)
      • Cybersecurity & Privacy
      • Cyber Insurance
      • Data Breach & Risk Management
      • Elder Issues
      • Employment
      • Employment Practices Liability
      • Fiduciary Duties/Responsibilities
      • Financial Technology (FinTech)
      • Fraud
      • Information Management
      • Legal
      • Regulation Best Interest - Reg BI
      • Risk Management
      • Selling Away
      • Sales Supervision
      • Sales Practice
      • Suitability
      • Supervision
      • U-5 Reporting/Defamation
      • Unauthorized Trading
      • Wrongful Termination
      • Cyber Security & Privacy
      • Data Breach & Risk Management
      • Information Management
      • Software/IP Analysis
      • Regulatory & Internal Investigations
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • Broker Dealer (B-D)
      • Cybersecurity & Privacy
      • Cyber Insurance
      • Data Breach & Risk Management
      • Elder Issues
      • Employment
      • Employment Practices Liability
      • Fiduciary Duties/Responsibilities
      • Financial Technology (FinTech)
      • Fraud
      • Information Management
      • Legal
      • Regulation Best Interest - Reg BI
      • Risk Management
      • Selling Away
      • Sales Supervision
      • Sales Practice
      • Suitability
      • Supervision
      • U-5 Reporting/Defamation
      • Unauthorized Trading
      • Wrongful Termination
      • Cyber Security & Privacy
      • Data Breach & Risk Management
      • Information Management
      • Software/IP Analysis
      • Regulatory & Internal Investigations
  • Regulatory & Internal Investigations

Credentials

EXPERIENCE

LPL Financial, San Diego, CA, 2013 – 2021; Executive Vice President and General Counsel for Advice, Litigation and Regulatory Strategy -- Compliance, Legal and Risk, 2019 – 2021; Executive Vice President and Deputy General Counsel for Advice, Litigation and Regulatory Strategy – Compliance, Legal and Risk, 2017 –2019; Executive/Senior Vice President and Chief Privacy Officer and Head of Infrastructure Risk Management, 2013-2017

Ameriprise Financial, Minneapolis, MN, 2007 – 2013; Chief Privacy Officer, Vice President and Chief Counsel for The Personal Advisors Group, 2011 – 2013; Chief Privacy Officer, Vice President and Group Counsel for The Personal Advisors Group, 2009 – 2011; Vice President/Counsel for Experienced Advisor Recruiting and Privacy, 2007 - 2009  

Morgan Stanley, Purchase and New York, NY, 2002 – 2007; Vice President and Senior Attorney in Employment and Recruiting

Fordham University School of Law, Adjunct Associate Professor, New York, NY, 1998 – 2005 (Concurrent)

Graubard Miller, Litigation Associate, New York, NY, 2001 – 2002

Kaye Scholer, LLP, Litigation Associate, New York, NY, 2000 – 2001

Graubard Mollen & Miller, Litigation Associate, New York, NY, 1999 – 2000

The Honorable Bernard Newman, Judicial Law Clerk, Southern District of New York (by designation), U.S. Court of International Trade, New York, NY, 1997 – 1999

Office of the District Attorney, Assistant District Attorney, Appeals Bureau and Civil Litigation Unit, New York, NY, 1995 – 1997

EDUCATION

EDUCATION  

Juris Doctor (JD), Fordham University School of Law, New York, NY

  • Lawrence J. McKay Advocacy Prize, Keith C. Miller Award, Editor-in-Chief of the Moot Court Board

Bachelor of Arts (BA), English, Loyola Marymount University, Los Angeles, CA

  • Presidential Citation
PROFESSIONAL QUALIFICATIONS/LICENSING

Bar Admissions

  • New York
  • Minnesota, Voluntary Inactive
AFFILIATIONS

SIFMA, Securities Industry and Financial Markets Association

  • Past Member of General Counsels Committee
  • Past Chair of Privacy and Data Protection Subcommittee
  • Member of Whistleblower Response Panel at Compliance and Legal Society Annual Meeting
  • Frequent Speaker or Moderator for Compliance and Legal Seminar Panels

Financial Services Roundtable/BITS

  • Past Chair of Technology and Operations Regulatory Working Group