Dennis Dumas Email and Phone Number
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Regulatory and corporate counselor and executive for broker-dealers, banks, advisors, financial services and public companies. In house, major law firm and government record of achievement.
Bates Group
View- Website:
- batesgroupllc.com
- Employees:
- 108
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Testifying Expert, ConsultantBates Group Jan 2023 - PresentPortland, Oregon Metropolitan AreaDennis Dumas, Esq., is a Bates Testifying Expert who is an accomplished securities attorney and industry executive with over 35 years of law firm and corporate legal experience across multiple industries including brokerage, banking, advisory and financial services. Mr. Dumas served as Managing Counsel, Securities and Capital Markets at Bank of New York Mellon, a Fortune 200 Company, and Senior Counsel at Pillsbury Winthrop, an international law firm ranked among the top 60 of the Am Law 100. He also served as Attorney-Adviser for SEC Division of Enforcement in Washington, DC, and Special Assistant US Attorney for US Department of Justice.Mr. Dumas has demonstrated accomplishments and experience in the following areas matters before the SEC, NYSE and FINRA, 33, 34 and 40 Act Regulation and Reporting, Institutional and Retail Compliance, Banking, Advisory and Broker-Dealer Regulatory matters, Trading and Markets, Corporate Finance, Corporate Governance, Contracts, Negotiations and Litigation.
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Director, Financial Services Compliance And RegulationKroll Sep 2021 - Dec 2022New York, New YorkDirector, Financial Services Compliance and Regulation -
President, General Counsel, Full Service Broker-Dealer And Advisor AffiliatesAvanza Capital Markets, Inc. 2010 - Sep 2021New York, New York• Securities and capital markets regulation, industry practice• Trading, international and domestic markets, corporate finance• Institutional and Retail Compliance• Structured/ represented affiliated SEC Registered Investment Adviser and BMA regulated Investment Business -
ConsultantCapital Markets Consulting 2007 - 2009Chatham, New JerseyCapital markets and corporate counseling for institutional clients
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CounselChadbourne & Parke Llp 2004 - 2006New York, New YorkSecurities, financial regulatory, corporate and litigation -
Managing Counsel, Securities And Capital MarketsBny Mellon 1996 - 2003New York, New YorkRepresent Bank and Broker-Dealer/ Financial Services affiliates. Responsibilities include trading and markets, corporate finance, underwriting, structured products, investment advisory, clearing, regulatory, mergers and acquisitions, litigation -
Senior CounselPillsbury Winthrop Shaw Pittman Llp 1988 - 1996New York, New YorkLitigation, regulatory and corporate representation of banks, broker-dealers, advisors and public companies -
Attorney-AdvisorU.S. Securities And Exchange Commission, Division Of Enforcement 1984 - 1988Washington, D.C.Investigated and prosecuted securities law violations. 1987-88 served as Special Assistant US Attorney.
Dennis Dumas Skills
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Bs, Jd
Frequently Asked Questions about Dennis Dumas
What company does Dennis Dumas work for?
Dennis Dumas works for Bates Group
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Dennis Dumas's current role is Accomplished securities attorney and industry executive.
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What schools did Dennis Dumas attend?
Dennis Dumas attended Duke University.
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Dennis Dumas has skills like Capital Markets, Corporate And Securities Law, Securities Regulation.
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Dennis Dumas's colleagues are Justin M. Vick, Cams, Josh Grove, Jennifer Cunningham, Susan Berger, Brad Goldfarb, Michael Lacek, Susan Paul.
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