Jeff Gery Email & Phone Number

Fort Wayne, IN, US

Chicago, IL, US

I lead the legal aspect of the company's Retirement Plan and Wealth business, including drafting and negotiating complex commercial agreements; advising and strategizing with senior leaders and compliance teams to stay within the confines of SEC, FINRA, DOL and insurance regulations; managing and resolving disputes, complaints and litigation; supporting.

Nashville, Tennessee, US

I led the execution of Alto's broker-dealer strategy for its alternative investment platform. Execution included obtaining FINRA membership for Alto Securities, developing due diligence and marketing review processes for private securities offerings, collaborating with teams in the development of products for the platform, ensuring a solid compliance and.

A subsidiary of Ash Brokerage, First Palladium was created upon my recommendation to bring broker-dealer services in house to increase revenue, save costs on the existing wholesaling business, and expand the retail business – “The Palladium Group.” This broker-dealer complimented Ash Brokerage's expertise in fixed life insurance and annuities by (1).

Fort Wayne, Indiana, US

• I was responsible for leading our teams through legal, strategic, and compliance issues involving the insurance and retirement markets the company serves. The Human Resources team and The Palladium Group sales team.
• executing the legal aspects of the firm’s M&A strategy of acquiring insurance agencies;
• negotiating contracts and complex transactions (confidentiality agreements, employment agreements, selling/service agreements, commercial agreements, M&A);
• supporting affiliated fintech companies (corporate formation, SaaS agreements, compliance, strategic guidance to position offerings in relevant markets;)
• leading compliance (FINRA and SEC regulations, AML, privacy, marketing review, cybersecurity, training of employees, third party oversight, supervision, audits and testing);
• balancing an entrepreneurial, growth focused business culture with legal rigor and discipline, such as consistent corporate governance, enterprise risk management and compliance practices for marketing, compensation.

Radnor, PA, US

I advised the executive, sales, product, operations, marketing and compliance teams of Lincoln's retirement plan services business (RPS) that provided products and services to clients for their 401(k), 403(b) and 457 plans. Successes included --- serving as a key contributor to the creation, development, operations, and oversight of Lincoln’s trust.

Radnor, PA, US

I served on the executive management team, which was responsible for the decisions and policymaking for a broker-dealer and registered investment advisor. My fifteen-member team worked in multiple locations, performing the product development, legal, compliance and supervision of the firm. Some of our accomplishments included --- developing a fiduciary.

Baker & Daniels (now Faegre Drinker): The securities and corporate matters of my practice included complex litigation on behalf of investors and broker-dealers, brokers subject to regulatory investigations, and garden-variety issues of broker-dealers and their registered representatives. The other areas of my legal practice included employment, product.

Doctor Of Law - Jd

Ba, Economics And Political Science

Education record

Education record

Bachelor Of Arts - Ba, Economics