Hamilton Carpenter Email & Phone Number

New York, New York, United States

New York, New York, United States

New York, New York

Greater New York City Area

Competitive two-year rotational program providing a holistic understanding of Citigroup’s businesses and an accelerated management trajectory. Rotations included Equity Sales and Trading and Capital Markets Origination, Citi Private Bank, Anti-Money Laundering, and Citi Commercial Bank.

New York, New York

o Supported the Broker-Dealer, Swap-Dealer, and Commercial Lending arms of ING America.o Negotiated an ISDA Master Agreement for OTC derivatives trading.o Presented on the current state of end-user relief from uncleared swap margin requirements. o Advised ING Bank on limitations surrounding foreign broker-dealer solicitation of U.S. persons in the context of SEA Rule 15a-6.

Executive board member. Senior editor of non-student author submitted articles. Acted as liaison between the authors and the journal. Vetted hundreds of author submitted articles for publishing in the journal. Managed numerous staff, associate, and primary editors.

Greater St. Louis Area

o Managed the issuance of Letters of Education in response to FINRA’s CRD Public Records Validation Initiative as well as aided in the determination of form U4 disclosures. o Conducted and presented research on international employment law issues. o Performed a review of all insurance-related agreements currently in force at Edward Jones. o Drafted memoranda for arbitrations in relation to fiduciary duties of insurance agents.

Washington D.C. Metro Area

o Compiled and distilled research regarding factors for exemption from MSRB Rule G-37.o Underwent specialized Statutory Disqualification training for the SEC’s MCDC initiative. o Participated in the review of a new membership application that involved cross-border broker dealer issues under SEA Rule 15a-6. o Conducted research on transaction-based compensation broker determinations and the post Kramer factors examined. o Participated in expedited proceedings under the FINRA Rule 9550 series as well as Statutory Disqualification hearings.

Washington D.C.

o Aided in the drafting of orders and opinions for review of the Commission.o Conducted research of issues on appeal from either the ALJs or SROs such as FINRA.o Observed closed Commission meetings as well as the administrative law courts.o Participated in cross-divisional roundtables discussing the state of the securities industry, proposed high frequency trading regulation, and recently litigated cases significant to the SEC.o Participated in a mock testimony workshop as well as the taking of actual testimony.

Greater Nashville Area, Tn

* Compiled legal research and wrote memoranda on topics not previously addressed within Tennessee common law including whether waivers of fifth amendment rights in criminal proceedings transferring to civil proceedings. * Presented findings with regard to said research in both written form and oral presentation. * Conferred and reasoned through the rulings of the court with the judge both during and after trial.* Acted as an officer of the court and observed numerous trials in the First Circuit and in other courts within the same district.

Juris Doctor (J.D.), Business Law

Activities and Societies: Warren R. Maichel Endowed Scholarship, Full Tuition; Business Law Certificate; Global Studies Law Review.

Bachelor Of Arts (B.A.), Economics, German

Activities and Societies: Lambda Chi Alpha, Asian American Student Association, Phi Sigma Pi, Omicron Delta Epsilon, Vanderbilt.