Joshua Cook Email & Phone Number

Medway, Ma, Us

Medway, Ma, Us

Boston, Ma, Us

 Develop and implement cybersecurity and privacy programs Mitigate incident risk through strategic planning, policy and playbook development, tabletop exercises, and employee training Coach audit and regulatory exam response Guide internal and external communications and regulatory notifications

Boston, Ma, Us

 Launched in-house cyber counsel office for multibillion dollar global enterprise providing financial advice, insurance, wealth management, and retirement services in 20+ countries Supervised US Privacy, Cybersecurity, and Anti-Fraud teams Advised C-suite and Board of regulatory concerns and noteworthy incidents Drove interactions with federal and state agencies and self-regulatory bodies Implemented processes and trainings relating to CCPA/CPRA, GDPR, GLBA, NYDFS, and SEC regulations Facilitated establishment and maintenance of anti-fraud fusion center Wrote and oversaw implementation of global brand abuse playbook Guided global crypto policy and innovative blockchain projects Authored strategic guidance for US cyber/privacy regulatory risk and compliance efforts Commanded cyber/privacy/fraud incident response, investigation, remediation, including regulatory and third-party notification requirements and inquiries Coached improvements to data loss prevention and remediation teams Designed and implemented training modules and tabletop exercises Managed US Intellectual Property Office, handling pre-clearance, registration, and infringement litigation for 500+ trademarks and patents and 2000+ domains Increased efficiency of IP Office by 80% through automation and prioritization Negotiated amendment to Boston Marathon sponsorship agreement during COVID Reduced outside counsel spend by 25% for privacy, cybersecurity, anti-fraud, and intellectual property

Boston, Ma, Us

 Influenced advisor/customer relationships in retail broker-dealer business with 2000+ registered representatives Supported two wholesale broker-dealers with distribution of private placements, mutual funds, and variable insurance products As general counsel of small, acquired broker-dealer, guided its merger into parent firm Oversaw regulatory inquiries and filings Facilitated mergers, acquisitions, and sale of broker-dealers Advised US insurance and securities businesses on sales and marketing initiatives Incorporated proactive awareness of regulatory landscape into business advice Developed holistic strategy and managed multidisciplinary team responding to 25 subpoenas from multiple state and federal regulators while producing more than 1.5 million documents and resolving more than 130 customer complaints relating to a single matter resulting in 95% customer retention Championed interactions with state, federal, and SRO regulators Successfully resolved more than 150 customer complaints and 25 arbitrations/litigations Initiated policy changes and designed trainings on topics including TCPA, sales to seniors, and cybersecurity

 Organized program selection and membership development of non-profit consisting of approximately 75 securities industry legal and compliance professionals Guided organizational strategic vision Presented as subject matter expert on topics including cyber security, fraud, and incident response

Boston, Ma, Us

 Successfully prosecuted securities and fraud claims on behalf of 200+ investors nationwide in arbitration, mediation, and litigation Counseled broker-dealers in defense of customer complaints, regulatory inquiries, and enforcement matters Secured $7,000,000 of investor funds misappropriated by a fraudulent forex company, forcing the company into involuntary bankruptcy after a trial contested by the Swiss Federal Banking Commission Won dismissal of all claims against a broker-dealer after an arbitration arising from customer complaints of unsuitability relating to CMOs

 Within securities litigation and arbitration practice, assessed cases, developed strategy, executed discovery, prepared witnesses, drafted pleadings and motions, argued pre-trial hearings, negotiated settlements, and supervised paralegals and other staff Published more than 35 case summaries in the Securities Litigation Commentator

Jd, Law

Ba, Philosophy

Education record

Education record

Education record