Erica Robertson Email and Phone Number

Securities Litigation:· Conducted investigations involving supervisory failures, unmanaged conflicts of interest, inadequate disclosure, unregistered activity, suitability, and dishonest and unethical conduct · Spearheaded a high-profile investigation of one of the largest independent broker-dealers for sales practice violations and negotiated substantive changes to their program in addition to a seven-figure fine· Drafted administrative complaints, pretrial motions, responses, subpoenas, and settlement documents · Prepared for hearings and developed the litigation strategy for a complex matter involving a fund manager’s alleged unlawful solicitation of interests in venture capital funds used to finance technology start-up companies · Successfully argued oppositions to motions before an administrative law judge · Conducted on the record testimony and interviewed witnesses· Negotiated settlements involving registered investment advisers, broker-dealers, investment adviser representatives, and broker-dealer agentsRegulatory Compliance:· Examined traditional registered investment advisers and robo-advisers managing up to $100 million in assets and evaluated their compliance with the Investment Advisers Act of 1940 · Determined whether firms and representatives would be allowed to register in Massachusetts by evaluating hundreds of applications for registration annually, including Form ADVs, Form BDs, and Form U4s· Negotiated conditions for firms and their representatives to undertake, in order to register in Massachusetts, and drafted the corresponding consent orders · Drafted changes to Massachusetts regulations pertaining to investment advisers, broker-dealers, investment adviser representatives, and broker-dealer agents· Informed the public of blue-sky filing requirements, explained securities offering exemptions, and reviewed offering memoranda, limited partnership agreements, convertible notes, and promotional materials

· Conducted legal research and drafted memoranda comparing Massachusetts consumer protection laws with the consumer protection laws of other states · Researched consumer privacy and data security legal issues, specifically those relating to money transmitter fintech applications safeguarding the financial account information of customers· Conducted market survey of different peer-to-peer lending companies to assess the prevalence of peer-to-peer lending within Massachusetts· Developed educational materials about risks to investors buying and trading promissory notes on peer-to-peer lending trading platforms

• Maintained and kept current pleadings and motion binders.

· Conducted legal research on civil and criminal issues and drafted memoranda pertaining to pretrial motions and an unemployment benefits appeal case· Assisted with motion sessions; attended bail hearings, sentencing hearings, arraignments; and observed trial in Suffolk Superior Court, as well as the U.S. District Court for the District of Massachusetts

• Formulated and executed public international law research agenda for future policy development targeting the implementation of gender based UN Security Council Resolutions 1325, 1820, 1888, and 1889. • Coordinated and compiled academic resources in an online database that assists policy makers in research. • Researched and analyzed academic resources to be included in Northern Ireland conflict book project.