Eric Pinciss Email & Phone Number

El Segundo, Ca, Us

San Diego , Ca, Us

As of 12/31/23, Cetera supports more than 12,000 independent financial professionals and oversees more than $475 billion in assets under administration and $190 billion in assets under management; as such, I provide dedicated legal support with regard to: Wealth management regulatory matters including interpretations of Investment Advisers Act, 1940 Act, FINRA, ERISA, banking, state insurance laws, as well as compliance, corporate governance, transactions/integration, and related emerging legal issues; Development and maintenance of various investment advisory and retirement (eg, 401(k), 403(b) and 457) platforms, Investment committees and wrap fee programs, as well as FDIC-insured bank cash sweep programs, OCC-regulated directed/delegated trust, robo-advice and fintech;Form ADV disclosure and policies and procedure updates to ensure compliance with latest regulatory requirements and industry standards;Interfacing with outside counsel and in-house legal, compliance and various business partners to address issues as part of cross-functional project teams, and evaluation of emerging business matters;Research and analysis of complex legal issues, including application and interpretation of new SEC rules, releases, and bulletins, including SEC Marketing Rule, Reg BI, DOL fiduciary rule, etc;Negotiation of various vendor, representative and client agreements as well as insurance marketing and fund sponsor distribution, partner, platform, and bank networking agreements; andSEC/FINRA regulatory RIA/BD examinations, investigations, enforcement/Wells responses, discovery, including document review, witness/expert report prep, settlement negotiations, and depositions.

Regular growth and planning council for nationwide multi-thematic publishing groupStrategic posture with respect to negotiations, mediation, litigation, and corporate organizationContract review relating to structure, employment and real estate matters as well as acquisition opportunitiesStartup grew from 5 to 95 U.S. markets across 2 private companies. Gross annual sales grew from under $0.5m in first year to multimillion with ~25% growth annually since launch in 2016

Minneapolis, Mn, Us

Drafted and filed initial multi-class exchange-traded fund and mutual fund registration statements; Merged, liquidated, and launched new funds; Ensured timely and accurate SEC filings, including registration statements, proxy materials, and related filings; Communicated effectively with SEC on behalf of fund clients on cutting edge issues including cryptocurrency, derivatives, and other alternative financial instruments; Attended and drafted board meeting minutes, resolutions, agendas, agreements, and policies and procedures and communicated with Board; Served as a legal resource by providing guidance including liquidity, modernization, and distribution, and collaborate with compliance concerning the Investment Company Act of 1940, SEC exemptive relief, as well as related securities laws; and Educated internal clients, board members and industry with respect to legal, regulatory, and industry developments.

New York, Ny, Us

Government Contract Litigation/White Collar Criminal Defense.

Los Angeles, California, Us

Broker-Dealer Bankruptcy/Tri-Party Repurchase Agreement Litigation

Los Angeles, California, Us

Hostile Takeover Litigation/Corporate Board Director Representation.

New York, Ny, Us

Structured Finance Product/Mortgage-Backed Security Litigation.

New York, Ny, Us

Counseled investment companies and investment advisers on 1940 Acts and general corporate matters with regard to all phases of business operations including formation, marketing, M&A, liquidation, compliance, AML, and SOX. Prepared SEC filings under 1940 Acts for new/existing funds/advisers, including registration statements, periodic reports and annual updates, and proxy statements. Drafted various agreements, compliance manuals, board materials and meeting minutes. Conducted research and draft client memos on securities regulatory issues. Published article for international periodical and draft regulatory updates.

Tampa, Fl, Us

Counseled investment companies, investment advisers, broker-dealers, and insurance companies on securities regulatory, transactional, and general corporate matters. Conducted research and drafted client memoranda on state and federal regulatory issues. Prepared SEC filings, including registration statements, periodic reports and annual updates, proxies, and compliance reports. Regularly tracked developing legal issues, wrote newsletter articles, and presented to practice team.

Washington, Dc, Us

Response to Attorney General investigation into insurance industry practices.

Washington, Dc, Us

James Socas For Congress

Boston, Massachusetts, Us

Assisted Professor with Research and Organizing Mutual Fund Conference

Us

Provided General Counsel with legal research into broker-dealer compliance issues.

New York, Us

Researched case law for prosecuting Internet fraud.

Us

Provided Research and drafted decisions for clerks.

Gb

Awarded Firm’s Spotlight Achievement Award for exemplary team accomplishments. Established reference guide to assist Department of Housing and Urban Development comply with court order to desegregate East Texas public housing.

Llm, Bank And Financial Law

Jd, Law

Ba, History