Patrick O’Shea

Patrick O’Shea

Patrick “Pat” O’Shea is a Bates Testifying Expert with broad leadership and P&L experience in capital markets, investment banking, institutional sales & trading and equity research. His roles have provided him with exposure to regulatory matters, compliance requirements and market structure issues faced by broker-dealers, qualifying him broadly in consulting, arbitration and expert witness assignments.  He has been deposed as an expert in cases being investigated against other parties.

Pat’s career has focused on helping emerging growth companies with strategic direction and capital formation. Concurrent with his role at Bates, Pat is an investor and partner with ICmed, an emerging digital health solution focused on patient and caregiver communication pathways with health systems. 

Prior to joining Bates, Pat served as Senior Managing Director and Head of the Equity Capital Markets division for BB&T Securities from 2006 to 2015, responsible for the investment banking, institutional sales & trading, equity research and origination and syndicate groups.  He also served on the Board of Managers for BB&T Securities. From 2003 to 2006, Pat co-founded Banner Capital Markets, which facilitated privately negotiated equity transactions for public companies.  Prior to Banner, Pat held leadership roles in Equity Capital Markets and Investment Banking with Deutsche Bank and predecessor Alex. Brown & Sons, from 1991 to 2002, and in Sales & Trading Management with Salomon Brothers earlier in his career.  All in, Pat has led over 500 equity capital-raising transactions for these firms, and he is versed in all matters related to equity IPO and shelf registrations, underwriting, retail and institutional distribution, pricing, stabilization, and new-issue trading.

Throughout his career, Pat has served on industry association committees to help drive market structure modernization, including most recently the SIFMA Institutional Brokerage and Equity Capital Markets committee from 2009 to 2016.

While working in the securities industry, Pat also served on the Board of Trustees of the Maryland Retirement and Pension System from 2003 to 2008.  Appointed by the Maryland Governor, he filled the first of two expanded seats for financial experts, required through legislation by the Maryland General Assembly in response to a scandal involving prior trustees.  There, Pat successfully led efforts to expand the system’s exposure to alternative investments, including private equity and venture capital.


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Patrick O’Shea

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Auto-Callable Securities
      • Bad Faith
      • Broker Dealer (B-D)
      • Capital Markets
      • Corporate Finance
      • Corporate Governance
      • D & O Liability
      • Elder Issues
      • Equities
      • Fiduciary Duties/Responsibilities
      • Financial Analyst Responsibilities
      • General Market Decline
      • HIPAA
      • Information Management
      • Industry Standards
      • Operational Complaints
      • P&L Analysis
      • Private Equity
      • Private Placements
      • Real Estate Investment Trusts - REITs
      • Regulation Best Interest - Reg BI
      • Sales Practice
      • Supervision
      • 401K/Pension/Retirement
      • Alternative Investments
      • Capital Markets
      • Corporate Finance
      • Corporate Governance
      • Equities
      • Equity Financing
      • Industry Standards
      • Information Management
      • IPO
      • Private Equity
      • Private Placements
      • REITS
      • Sales Practice
      • Sales Process
      • Supervision
      • Underwriting
      • Healthcare
    • Institutional
      • Securities and Financial Services Litigation & Consulting
      • Alternative Investments
      • Auto-Callable Securities
      • Bad Faith
      • Broker Dealer (B-D)
      • Capital Markets
      • Corporate Finance
      • Corporate Governance
      • D & O Liability
      • Elder Issues
      • Equities
      • Fiduciary Duties/Responsibilities
      • Financial Analyst Responsibilities
      • General Market Decline
      • HIPAA
      • Information Management
      • Industry Standards
      • Operational Complaints
      • P&L Analysis
      • Private Equity
      • Private Placements
      • Real Estate Investment Trusts - REITs
      • Regulation Best Interest - Reg BI
      • Sales Practice
      • Supervision
      • 401K/Pension/Retirement
      • Alternative Investments
      • Capital Markets
      • Corporate Finance
      • Corporate Governance
      • Equities
      • Equity Financing
      • Industry Standards
      • Information Management
      • IPO
      • Private Equity
      • Private Placements
      • REITS
      • Sales Practice
      • Sales Process
      • Supervision
      • Underwriting
      • Healthcare
  • Healthcare

Credentials

EXPERIENCE

DH Capital Securities, LLC, CEO, Baltimore, MD March 2022 - present

ICmed LLC, Member, Board of Directors, Baltimore, MD 2016 - present

BB&T Capital Markets, a division of BB&T Securities LLC, Senior Managing Director, Head of Equity Capital Markets, Richmond, VA 2006 – 2015

BANNER CAPITAL MARKETS LLC, Founding Partner, Baltimore, MD 2003 - 2006, 2017 - present

MARYLAND STATE PENSION AND RETIREMENT SYSTEM, Member – Board of Trustees, Baltimore, MD 2003-2008

Deutsche Bank Securities / BT Alex. Brown / Alex. Brown & Sons, Baltimore, MD 1991-2002; Director, Equity Origination, Equity Capital Markets 1998-2002; Vice President, Equity Syndicate, Equity Capital Markets 1994-1998; Associate, Health Care Investment Banking 1991-1994

Tactical Group, Principal, Alexandria, VA 1989-1991

Lasalle Partners, Limited, Financial Manager- Development Management Group, Washington, DC 1988-1989

Salomon Brothers Inc, Associate – Institutional Sales and Sales Management, New York, NY 1986-1988

National Steel Corporation, Pittsburgh, PA 1980-1984; Associate Automotive Account Manager – Chevrolet Account, Detroit, MI; Market Development Engineer, Livonia, MI; Resident Sales Representative – National Pipe and Tube, Houston and Dallas, TX

EDUCATION

Bachelor of Science (BS), Civil Engineering, University of Virginia, Charlottesville, VA

Master of Business Administration (MBA), Darden School of Business, University of Virginia, Charlottesville, VA

PROFESSIONAL QUALIFICATIONS/LICENSING

FINRA registrations: Series 7, 24, 63 and 79

COMMUNITY INVOLVEMENT

Darden School Foundation, University of Virginia – Member, Board of Trustees (2018-present) and Chairman, Alumni Association Board of Directors (2015-present)

Catholic Charities of Baltimore – Leadership Board, 1995-2006 (Chairman – 2006)