David Spring Email & Phone Number

New York City Metropolitan Area

Managing Principal of Four Seasons Realty Group LLC, a New York City based full service commercial and residential real estate operator with ownership and day to day management in both retail and residential real estate n New York City , Long Island, Connecticut and Pennsylvania.

Greater New York City Area

Executive (MD) within the office of the Chief Operating Officer of the Corporate & Investment Bank. Primarily responsible for the development and implementation of a regulatory and risk governance program for CIB. With emphasis on , Business Conduct and Culture, Conflicts of Interest, Outside Business Activities including Sales Practices, Complaints, Gifts & Entertainment, Advertising & Marketing. Also served as lead for the Volcker and Reg W Governance team covering CIB.… Show more Executive (MD) within the office of the Chief Operating Officer of the Corporate & Investment Bank. Primarily responsible for the development and implementation of a regulatory and risk governance program for CIB. With emphasis on , Business Conduct and Culture, Conflicts of Interest, Outside Business Activities including Sales Practices, Complaints, Gifts & Entertainment, Advertising & Marketing. Also served as lead for the Volcker and Reg W Governance team covering CIB. Partnered with the Bank's Enterprise Conduct Management Office, International Compliance Teams and Wholesale Lines of Business in the implementation, execution and governance Advise Senior business executives on regulatory matters across all areas including PrimeBrokerage, Electronic Trading, Volcker Rule, Reg SHO, Reg W, and FI pricing; Show less

Greater New York City Area

Global Regulatory Examinations and Regulatory ResponseCompliance executive leading over 100 professionals across Global Banking and Markets(“GBAM”) & Global Wealth Investment Management (“GWIM”). Direct report to the Co-CCOsof Merrill Lynch, Pierce, Fenner and Smith, Incorporated.Current responsibilities:o Primary relationship manager with all regulators having oversight jurisdiction for GBAM& GWIM including the FRB, OCC, SEC, FINRA and NFA;o Head of Regulatory Exam… Show more Global Regulatory Examinations and Regulatory ResponseCompliance executive leading over 100 professionals across Global Banking and Markets(“GBAM”) & Global Wealth Investment Management (“GWIM”). Direct report to the Co-CCOsof Merrill Lynch, Pierce, Fenner and Smith, Incorporated.Current responsibilities:o Primary relationship manager with all regulators having oversight jurisdiction for GBAM& GWIM including the FRB, OCC, SEC, FINRA and NFA;o Head of Regulatory Exam Management team, which advises and prepares business andcontrol function executives for regulatory examination and reviews. Coordinates andresponds to all regulatory exams, sweeps and discovery reviews impacting GBAM &GWIM;o Head of Regulatory Inquiry Response team which investigates, responds and negotiates thesettlement of all regulatory inquiries, surveys and information requests covering theinstitutional GBAM and retail GWIM businesses;o Head of Global Equity Aggregation and Regulatory Reporting team, which monitors,aggregates and reports all equity and relevant derivative positions for Bank of America andits affiliates. Supervise reporting for 13G&F, large shareholder disclosures, UK, Ireland,and HK takeover panels and global short interest;o Head of Regulatory Complaint team, which undertakes, investigates, responds, negotiatessettlements of and reports all customer complaints pursuant to FINRA and NFA rules;o Advise Senior business executives on regulatory matters across all areas including PrimeBrokerage, Electronic Trading, Volcker Rule, Reg SHO, Reg W, and FI pricing;o Negotiate and prepare regulatory settlements on behalf of the firm;o Coordinate and direct the remediation of regulatory and compliance issues and findings Show less

Institutional Compliance - Advisory

Smith Barney Compliance - Advisory

Enforcement Attorney

Criminal Prosecutor - Eastern Division of NY

Criminal Prosecutor - Brooklyn New York