GARY A. KLEIN. Experience The Klein Law Group, Boca Raton, Florida February 2012-Present

Transcription

1 GARY A. KLEIN TEL. (561) Experience The Klein Law Group, Boca Raton, Florida February 2012-Present Established law firm as Partner Represent brokerage firms and financial services professionals before SEC, FINRA, and State regulators Offer compliance and regulatory consultation to investment advisors and broker-dealers Provide expert witness analysis, consultation and testimony Represent broker-dealers and investment advisors, providing compliance and litigation-related support Conduct internal investigations for companies LPL Financial LLC Boston, Massachusetts May 2010-February 2012 Deputy General Counsel, Executive Vice President Created Regulatory Group for largest independent broker-dealer (5 th largest national broker-dealer) Responsible for daily legal, regulatory and compliance counseling to Firm Managed firm s regulatory staff handling regulatory matters before the SEC, FINRA and State Agencies (approximately 650 matters annually) Member of firm s government relations group; met with Members of Congress to discuss policy effecting firm Responsible for implementing new external regulatory policies impacting firm Member of firm s Operating Council Served as Officer on firm s Political Action Committee Served on Board of Directors for Greater Boston Legal Services Served on numerous trade association committees Guest speaker at numerous conferences, including the annual National North American Securities Administrators Association Conference

2 Page 2 United States Securities and Exchange Commission, Miami, Florida March 2008-May 2010 Branch Chief-Regulation (June 2008-May 2010) Senior Counsel (March 2008-June 2008) Directed planning and supervision of complex financial, operational and sales practice examinations of investment advisors, hedge funds, broker-dealers, and investment companies Supervised staff of investment advisor examiners Received Directors Award for Excellence Speaker at annual Chief Compliance Officer Round Table Klein & Sallah, LLC, Boca Raton, Florida June 2004-March 2008 Established law firm as Partner Firm opened 500 new matters during tenure Represented numerous national and regional broker-dealers, providing compliance and litigation-related support Represented brokerage firms and financial advisers before SEC, FINRA, NYSE and State regulators Appointed Special Counsel to SEC Receiver to investigate and prosecute claims against brokerage firm in connection with multimillion dollar hedge fund fraud Appointed by SEC as Independent Consultant to review, revise, and test supervisory procedures in connection with broker-dealer's market making/trading activities Conducted internal investigations for companies Litigated matters in State and Federal Courts Retained to provide expert analysis and testimony Guest speaker at securities conferences Appeared live on CNBC and CBS4 Interviewed and quoted by The Wall Street Journal, The New York Times, and numerous other publications United States Securities and Exchange Commission, Miami, Florida March 1999-June 2004 Branch Chief Enforcement (July 2002-June 2004) Senior Counsel (March 1999-July 2002) Brought SEC s first day-trading case Received SEC Chairman's Award for Excellence in 2002 Nominated for the Ellen Ross Award (honors an enforcement attorney who demonstrates exemplary commitment, enthusiasm, and performance)-2000 Settled Vivendi Universal Matter, 3 rd largest international accounting fraud case settled by SEC

3 Page 3 Settled 3 rd largest failure to supervise case against broker-dealer Filed and settled $3.4 million insider trading case Supervised most productive branch, Directed intern program, D.H. Blair & Co., Inc, New York, New York October 1997-February 1999 Deputy General Counsel Provided daily legal, regulatory and compliance counseling to CEO and senior management, and worked directly with the director of compliance to provide daily 33 and 34 Act compliance counseling to account executives and other firm employees from October 1997-December 1997, when Firm sold its retail assets Supervised firm attorneys concerning securities and employment litigation, and regulatory matters before the SEC, NYSE, NASD and state agencies (December 1997 to February 1999, after firm became a liability company) Singer Zamansky, LLP, New York, New York September 1996-October 1997 Senior Associate Supervised junior attorneys in all matters concerning securities and employment litigation Provided counsel to broker-dealer clients during regulatory and compliance investigations Assisted broker-dealer and registered investment advisors in developing written supervisory procedures Provided clients with daily 33 and 34 Act, NYSE, NASD, and state compliance counseling Prudential Securities, Inc., New York, New York June 1991-September 1996 Vice President, Associate General Counsel Represented firm in more than 30 arbitration proceedings Represented registered employees in regulatory proceedings before federal and state regulatory agencies and FINRA Developed and implemented firm s broker retraining program Conducted extensive internal branch investigations Presented compliance seminars to branch offices Advised branch officers and business departments on all matters concerning the securities industry

4 Page 4 Bronx District Attorney s Office, Bronx, New York December 1986-June 1991 Assistant District Attorney Special Narcotics Investigation Unit (June 1990-June 1991) Selected to serve on eight member, federal program designed to combat narcotics trafficking Coordinated ten month wire-tap investigation; authorized and drafted search warrants; debriefed and approved use of confidential informants Narcotics and Criminal Court Bureaus (December 1986-June 1990) Prosecuted more than 30 felony and misdemeanor cases Education University of Miami, School of Law, Coral Gables, Florida Juris Doctor May 1986 Article and Comment Editor, Entertainment and Sports Law Journal Honorary Society of Bar and Gavel Dean s List University of New York at Albany, Albany, New York Bachelor of Arts Degree with Honors, May 1983 Bar Admissions Certifications/ Licenses Memberships Cum Laude Phi Alpha Theta Honor Society Florida New York New Jersey United States District Court; Southern and Eastern Districts of New York, District of New Jersey United States District Court, Southern District of Florida United States District Court, Western District of Texas United States Court of Appeals, Eleventh Circuit Certified FINRA Arbitrator Florida, New York and New Jersey Bar Associations

5 Page 5 Publication Say No and Know Why (1992) (A book, published by Walker and Company, featured me in a substance prevention and intervention program for elementary school students that I developed and implemented. Program was also featured nationally and internationally on NBC, CNN, and international television) TV Appearances\Quoted Appeared on CNBC Squawk Box and Closing Bell Show Quoted in The Wall Street Journal, The New York Times, The Palm Beach Post, The Sun-Sentinel, The Miami Herald, The New York Post, among others.