Marc Abramson Email & Phone Number

Florida, United States

Tampa, Florida, Us

New York, Ny, Us

Draft, review, edit and negotiate client engagement letter agreements with respect to commercial real estate-related securities transactions to reflect applicable legal / regulatory compliance requirements.

> Provide legal guidance and compliance consulting services to securities industry stakeholders, including broker-dealers, SEC and state-registered investment advisors, their owners/executive officers, and other registered individuals. > Manage interactions with regulatory authorities, prepare written communications and coordinate document production in response to routine information requests; defend for-cause examinations, investigations, other enforcement matters; and advise clients on regulatory risk and potential legal, financial exposure. > Work with client firms' compliance personnel in conducting internal reviews, identifying sales practice-related exceptions / deficiencies and recommending remedial action. > Negotiated “cost of defense” settlements in over 90% of customer claims filed against client broker-dealer and Control Persons after firm ceased operations; draft pleadings, prepare discovery requests / responses, conduct motion practice, attend pre-hearing conferences, participate in mediations and arbitrations. > Helped formulate strategy for defense of several complex regulatory actions against client BD and its executive officers resulting in reduced sanctions under negotiated settlements. > Proficiency with negotiating, drafting, reviewing and editing various types of agreements including SAAS licensing, EULA and other information technology vendor contracts, corporate financing and private equity transaction documents.

St. Petersburg, Florida, Us

Served as in-house legal partner to Global Wealth Solutions, which includes: Wealth Planning, Insurance and Annuities, Institutional Fiduciary Solutions, ERISA / non-ERISA retirement plan sponsor advisory consulting and investment management agreements, Options Trading, Alternative Investments and Structured Products, 529 Programs, Mutual Fund Research and Marketing.

Los Angeles, California, Us

➢ As member of Wealth Management Risk Review Committee, participated in comprehensive monthly review and analysis of operating, supervisory, litigation, and regulatory risk with respect to firm’s private client and institutional investment management business; directly communicated with and advise senior management on high-sensitivity issues and recommended remedial measures. ➢ Handled firm’s responses to regulatory inquiries, investigations and other information requests issued by SEC, FINRA, other self-regulatory organizations and state agencies; directly communicated with regulators’ examiners and attorneys. ➢ Personally handled or served as co-counsel representing the firm in all aspects of FINRA arbitrations, mediations, state and federal court litigation; provided oversight and management of outside counsel on defense of client-initiated claims. ➢ Worked collaboratively with the CCO and other Compliance Department personnel to conduct internal reviews and investigations in effort to proactively foster positive relationships with the firm’s regulators. ➢ Provided advice on general corporate / operational matters and regulatory / compliance issues; assisted Legal Dept. colleagues with vendor contract drafting, review and redlining. ➢ Oversaw paralegals in responding to subpoenas and other non-party document requests.

New York, Ny, Us

Engaged as seconded in-house counsel providing support on: Separately Managed Account (SMA) | Collective Investment Trust investment management agreements (IMAs); review and redaction of IMAs, RFPs, etc. for production in response to federal | state freedom of information public record requests; NDAs; various other legal and regulatory compliance issues.

Retained as outside General Counsel for dually registered FINRA-member broker/dealer and Federally-covered investment adviser firm. Provided CEO and CCO/COO with ongoing legal advice and strategic risk management guidance on defense of SEC, FINRA, State regulatory matters including cycle and "for cause" exams, "sweep" initiatives, other investigations; compliance issues and sales practice supervision; and general corporate / commercial issues among other matters.

New York, Ny, Us

Engaged on defense of foreign regulator's non-public securities related investigation, which has been successfully resolved; participated in regular working group strategy meetings with Nuveen in-house legal team and international outside counsel, as well as financial and investment executives of other TIAA affiliated companies.

Charlotte, North Carolina, Us

Retained as outsourced General Counsel for “hybrid” federally-registered investment adviser / LPL Financial OSJ with over 200 independent financial advisors under its direct supervision; provided CEO and CCO with strategic risk management advice and legal guidance on a broad array of issues including regulatory and litigation / dispute resolution defense, compliance, general corporate and transactional matters among other areas.

Tampa, Fl, Us

Served as single-person legal department for SEC-registered investment advisor, providing back and middle-office services supporting the independent practices of “hybrid” financial advisers under the firm's supervision, as well as affiliated insurance brokerage general agency and other business units. Provided legal advice and risk mitigation guidance to firm’s Executive Committee. Managed holding company and subsidiary corporate restructuring; joint ventures.Coordinated with compliance officers and supervisory principals on wide range of regulatory issues, including preparation of firm's responses to regulatory inquiries, examinations and investigations. Served as counsel to the firm’s Cybersecurity, Business Continuity/Disaster Recovery, Due Diligence and Financial Advisor Review committees.

Served as senior-level attorney for U.S. Corporate Division of international financial services group of companies (including Transamerica).Participated in regulatory oversight and coordination of business operations of numerous enterprise RIAs, broker-dealers, mutual funds and insurance company separate accounts. Provided advice to divisional compliance/legal staff on maintaining compliance with Federal / State / Self-Regulatory Organization (SRO) laws, rules; reviewed and prepared summaries of securities related legislation and enforcement actions, conducted enterprise-wide conference calls on “hot button” regulatory / compliance issues to develop proactive “best practice” solutions. Assisted with management and defense of SEC, SRO and State investigations, enforcement actions.Conducted internal reviews of securities and insurance related operations.Drafted legal opinions to identify possible regulatory risks, and followed-up to ensure corrective action had been implemented.

Facilitated communications as neutral liaison between arbitrators and parties to securities arbitration cases. Provided procedural guidance and rule interpretation with respect to the Code of Arbitration Procedure and other NASD regulations.Selected as: one of six original members of “Best Practices Committee” chaired by the National Director of Arbitration; one of five members of Award Template Revision Committee; one of ten “Code Specialists” nationwide; and, received NASD Regulation, Inc. “President’s Award”.Performed financial audits of all case-related fees in regional office (resulting in sustained national-best accuracy rate of at least 90%) and personally handled day-to-day administration of 150+ active cases.Participated in supervision of 20-person regional office staff; directly managed paralegal, legal assistant.Conducted arbitrator training throughout the Southeast.

Juris Doctor

Master Of Business Administration*

Bachelor Of Arts - Ba, Psychology