Mark Keene Email & Phone Number

San Francisco, California, Us

Manage and lead the legal team supporting Wells Fargo Advisors including the Private Client Group, Wealth Brokerage Services, Wells Fargo Advisors Solutions, Wells Fargo Advisors Financial Network, and First Clearing and Custody Services. Responsibilities include: provide business-informed legal advice, risk/reward analysis and strategy to Wells Fargo Advisors' Senior Leadership Team; advise on applicable rules and regulations; provide corporate support to Wells' retail broker-dealers; deliver legal advice and guidance to the client facing branch offices; and partner with regulatory enforcement, litigation and employment law teams as well as compliance and risk.

Charlotte, Nc, Us

Manage and lead the legal regulatory enforcement team supporting Merrill Lynch, BofA Securities, and Bank of America, N.A. Responsibilities included: represent the firm and its employees in federal, state and SRO regulatory investigations and exams, and criminal investigations; conduct internal investigations concerning potential violations of investment-related statutes and rules; provide legal advice to senior executives; partner with litigation, employment, and media relations teams as well as compliance and risk.

Washington, Dc, Us

Litigate and investigate cases involving possible violations of the federal securities laws. Representative matters included a four week jury trial of a chief accounting officer concerning fraudulent financial reporting and insider trading, an investigation of an executive of a public company concerning insider trading, and an investigation of a hedge fund concerning market manipulation.

20+ Locations, Worldwide, Us

Civil litigation practice in federal and state courts. Representative matters included conducting an internal investigation of a national financial company concerning alleged fraudulent accounting and compliance with Sarbanes-Oxley Act, a public company in acquisition related litigation regarding purported fraudulent financial statements, and a public company in the “IPO Laddering” securities class action case.

New York, Ny, Us

Civil corporate litigation practice, primarily in federal court. Representative matters included defending a mutual fund company in a SEC investigation concerning alleged inaccurate pricing of the fund, an individual in a SEC investigation concerning “front-running”, and a public company in several proposed nation-wide securities class actions stemming from the company’s restatement of its financials.