Jose "Jay" Knight Email & Phone Number

Washington, Dc, Us

Baltimore, Maryland, United States

Clinic Teaching Fellow and Professor at UB's Mediation Clinic for Families. In this position, I supervise student-attorneys, allowed to represent clients under Md. Rule 19-220, teach ADR and mediation to students in the clinic, and write scholarly articles regarding contracts, ADR, negotiations, and other areas of the law.

Baltimore, Maryland Area

Develop and teach mediation theory with an experiential component. Develop curriculum based on readings, mock attorney-client meetings, and simulations to help students explore the role of mediation within the structure of the legal system or in a mediation. Assign written tasks, which may include documents such as mediation statements, drafting negotiation simulations, reflection papers, and representation plans. Coach ADR Team members to prepare them for approved law- school negotiation and mediation competitions.

Baltimore, Maryland Area

Annapolis, Md

Annapolis, Md

Serves as a licensed attorney and mediator for the Maryland Court of Special Appeals’ ADR Division. Administers the Court’s Pre-Hearing Conference and Mediation Programs. Mediates civil appellate cases, including contract, tort, estate, guardianship, foreclosure, real property, and domestic disputes.

Advocated legislative positions and made presentations to members of Congress. Distilled complex issues regarding financial planning and various regulatory environments in which financial planners operate into concise talking points, and succinctly conveyed impacts to government officials. Developed process for and managed federal filings made on behalf of company, regarding lobbying, financial, and ethics disclosures. Influenced legislative process by assisting in drafting amendments, writing position letters, and arranging meetings with key elected officials, financial services regulators, their staff and key CFP Board personnel, and other high-profile persons.• Lobbied effectively to include legislative language regarding financial planning in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act).• Collaborated with the team that developed comment letters to the SEC regarding several provisions of the Dodd-Frank Act.

Managed team of investigators, which included attorneys and analysts, and administrative assistant. Authored compliance tools for financial planning professionals, such as sample disclosure forms and agreements and frequently asked questions, to clarify CFP Board’s Standards of Professional Conduct, which included rules, practices, and code of ethics. Acted as CFP Board staff counsel for cases presented to CFP Board’s Disciplinary and Ethics Commission, internal adjudicatory body, and Appeals Committee, internal appellate body. Built coalitions and communicated with financial services companies, broker-dealers, and associations, such as Securities Industry and Financial Markets Association (SIFMA).• Achieved seamless transition of department from Denver, CO to Washington, DC. • Planned quickly and executed plan within days of arrival in Denver.• Spoke to and trained financial planning professionals on CFP Board’s Standards of Professional Conduct.• Received overview of about 1,000 investigations with current status, prioritizing those investigations, interviewing current staff, assessing their strengths and weaknesses, preparing for hearings, and following up on compliance procedures developed by former director. • Paired staff with legal experience and staff who had little-to-no legal experience. • Established securities regulatory credentials with staff, then started to close up cases that held low priority or no legal or ethical problems.• Sent out investigative questionnaires to financial planning professionals on matters deemed problematic.• Pushed administrative functions of matters going to hearing and working after hours in order to take advantage of copying, culling, and collating briefing books, without availability of other personnel.• Achieved closing rate of 86% of open cases in 18 months by leading changes in staff responsibilities and investigation processes.

Served as lead expert and counseled on Membership Application Process (MAP) program for fifteen national district offices with respect to continuing membership, new member, and membership agreement change applications. Led counsel for FINRA’s liaison program. Acted as lead attorney for hearing proceedings under former NASD Rule 9500 series (now FINRA Rule 9500 series). Drafted policy and procedural guidelines for MAP process. Presented to and developed training for diversified audience groups regarding MAP and liaison process.

Designed, executed, and coordinated examination programs and enforcement actions involving broker-dealers, investment advisers, issuer agents, and employees. Managed and directed division of examiners, investigators, and attorneys, with a budget of over $250,000. Developed securities regulatory policies regarding enforcement, compliance and custody rules, hedge funds, variable annuities, viaticals, and Internet fraud. Drafted legislative initiatives, such as uniform rules and regulations, based on Uniform Securities Act of 2002. Selected to represent department and bureau in various regulatory meetings with other states, SEC, NASD (now FINRA), North American Securities Administrators Association (NASAA), and NYSE (now FINRA).• Managed project to establish examination department, created departmental procedures, and hired its staff. • Inspected approximately quarter of firms doing business with investors in D.C. in first six months and handled several major investigations with other more established state securities regulators, including research analyst investigation of Deutsche Bank.• Selected by NASAA to speak and train regulatory staff across the United States on investment adviser’s fiduciary obligations under state securities laws and regulations.

Served as lead attorney on administrative and civil enforcement actions against investment advisers, broker-dealers, issuer agents, and unregistered entities. Conducted regulatory examinations and reviewed securities licensing applications. Participated in mentorship program hosted by office for inner-city youths.

Juris Doctorate

Activities and Societies: President, Student Bar Association; President, First Year Class; and Treasurer, The Federalist Society

Ba, English

Activities and Societies: President, Student Government Association (Student Body), received 1,100 votes out of 5,000 student votes.

Honors/Regents High School/Secondary Diploma Program