Joseph Mercurio Email and Phone Number

Analyze all matters with assigned in-house counsel to evaluate the overall risk of the claim(s) and that the matter poses to the firm. Carefully review all relative documentation and data to determine an appropriate resolution that best mitigates the risk. Research the product(s) at issue (e.g. ETFs, UITs, MLPs, MFs, OTC, REITs, BDCs, Bonds, Structured Products, and/or Annuities) for suitability, misrepresentation, and/or performance concerns, and conduct a review of the account(s) transaction/trading history. Identify the necessary additional information and questions that need to be answered, while conversing with various programs and financial advisors regarding matters. Collaborate with team members when drafting the firm’s response to the end client or regulator(s) to resolve the matter, and further communicate with end clients or regulator(s) via phone or electronical mail when additional concerns are expressed. Coordinate with business and compliance units (e.g. Service Esc., Commissions, FIU, FCC, SIP, Surveillance, and Regulatory) to investigate the allegations and/or the financial advisor. Evaluate pertinent information for regulatory filings; prepare and submit 4530 allegation filings, manual statistical filings, and settlement filings, draft initial disclosure checklist, and U4/5 filings. Drafted various “training” materials for EDR use; the File Prep Procedures Reference Guide, File Prep Users Guide, and the Electronic Mail Hack Accounting Work Flow. Consulted with Product Management to create a customized performance report for EDR. First step in the electronic case closure process; check to ensure all required documentation, regulatory coding, and filings are completed and uploaded in the database to increase closure efficiency time for the Legal Support.

• Complete initial case analysis for assigned matters; determine the required documents necessary for matter resolution and oversee facilitation of document preparation.• Responsible for corresponding with annuity carriers, REIT companies, and Business Development companies to obtain and review account documents, suitability forms, contracts, prospectus, and statements. • Final step in electronic case closure process; ensure the necessary documents are uploaded, and affirm the informational accuracy in the database for internal tracking and regulatory purposes. • Accounted for over 70 percent of case closures for 2016 closed matters. • On average, handle sales practice case prep load for 3 attorneys.• Assist in the ‘Operations Complaints Group’ in drafting memos to file and responses to matters, plus communicate with financial advisors and program managers. Additionally, when warranted prepare 4530 manual statistical filings. • Partake in sales practice case assessment, including drafting responses to allegations and slight workings with U4/5 filings.• Participate with the attorneys, in the coordination for arranging documents to be sent out to third parties to ensure document correctness and security.

Responsible for overseeing all prospective and current client data in company CRM, ensuring individual company portfolios are updated with the most accurate information attainable. Execute extensive analytical research into businesses, their subsidiaries, parent corporations, and obtaining company personnel contact information (i.e. CEO, President, CFO; name, phone extension, email) with careful precision. Work on multiple campaigns at one time for DCF dealing with growth capital investments and buy-side, while meeting stern deadlines. Entrusted with the completion of whole campaigns without assistance, ability to examine, research and input 30 or more companies into the CRM within a 6-hour timespan. Implement DCF strategic company profile targeting via marking companies within the campaign who do not meet set requirements, and using analytical research to find suitable target companies with a minimum EBITDA of $4 million.

Assist Field Agents by overseeing the organization, filing, and labeling of all case files for constituents.Facilitate all constituent issues, problems, questions and or concerns to the appropriate office or field agents that best suits their needs. Responsible for scanning over all mailed constituent letters and faxes to the congressman, and decided/confirm which constituent letters are passed along to the Washington Office. Research and read over all daily public writings, which are written within the 5th congressional, distract, and that are directly concerning about Congressman Mick Mulvaney.

Assist coaching staff with daily practices being responsible for maintaining the set schedule, and player outcomes in drill work. Over see all film work for practices, games, and film exchange with opposing teams, directly responsible for overseeing opponents schedule and setup for practice, including making any accommodations necessary. Provide innovative solutions to the staff, increasing efficiency in film technology, saving the staff over 2.5 hours a week in extra work. Aid in preparing staff scouting reports using Microsoft programing, reports focused on a concise summary analysis, providing innovative ways to exploit opponent’s strengths and weaknesses, a key contribution to opponent’s point per game being 65 PPG for the season. Create schedule for Administrative staff to manage staff’s personal responsibility for attending workouts and accomplish various essential office duties efficiently; duty to generate a growth in the quantity of player shot attempts and increased shot attempts per player by 1,000 shots a week by devoting extra time and private sessions.