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RssExceptional In-House Professional

I am seeking a career where my business and 20 years legal and regulatory background willbe utilized to positively affect a company's bottom line.

Lawyer

Lumberton, NJ

About Me

Industry:

Legal Services

Occupation:

Lawyer

Highlights:

Awards: President's, and Above and Beyond Awards at FINRA/NASD. Accomplishments: * Coached two teams to girl's fastpitch softball nationals earning 17th and 21st place. • Instrumental in drafting division’s due diligence, Statement of Work, and Agreement and web technology phases of the NASD acquisition of NYSE regulatory assets. Primary person handling rebranding efforts for division relating to the acquisition of NYSE’s regulatory functions by NASD. Assisted in garnering $1m annual fee from NYSE for services, as well as an anticipated $1m in fees from administering NYSE legacy arbitration cases. • Introduced, drafted, and negotiated service agreements increasing clients, and increasing revenues by $1m. • Drafted the winning technical proposal that captured the organization's first consulting account ($500K) with a European government entity. Served a key role in the completion of the assignment. • Insturmental in desigining and implementing FINRA’s special procedures for auction rate securities consequential damages claims pursuant to regulatory settlements between firms, the SEC, FINRA, and the various States. Administration of this program will create an estimated $600k to $1m in startup fees from firms, and an estimated $1m in case administration fees paid by firms under the settlements. I lead a team of professional staff in devising the program, training FINRA staff on administration, and posting the program on the web before regulators announced final settlements. • Handled collection matters for local consumer credit agency, ensuring $1m in outstanding debt was repaid without resorting to hearings. • Supported negotiations and assisted in drafting terms for $1B energy project in China. • Instrumental contributor to a $4.5M business venture focused on the expansion of its business into Mexico. • Supported a boxboard joint venture between a US company and Chinese firm, spearheading successful attainment of proposal agreements in 3 months, which resulted in the successful closing of a $24M deal. • Supported a successful bond issue for a local government entity, and private placement financing for a redevelopment project. • Responsible for corporate, individual, and not-for-profit tax matters including preparation, filing, research, and IRS negotiations.

Ideal Companies:

open
 

Education level:

Law Degree

Will Relocate:

Yes

Location:

Lumberton, NJ

Work Experiences

1/2000 - Present

(private)

Manager

  • Corporate, regulatory, compliance, strateegic planning, operations, contracts

7/1998 - 1/2000

NASD nka FINRA

Manager

  • Litigation Management, staff management, training, securiteis, compliance, regulatory, legal

7/1991 - 7/1998

NASD nka FINRA

Individual Contributor

  • Legal, training, litigation management, compliance

1/1989 - 7/1991

Kimme & Lamke

Individual Contributor

  • Legal, litigation management, corporate, insurance, real estate, banking, acquisitions, divestitures, collections, tax

Education

Keywords