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Experience:
Pat Conti’s securities law practice encompasses matters involving securities regulation, enforcement, compliance, and litigation.
Pat represents a wide range of clients in investigations by the SEC, the US Department of Justice, the Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations. He assists regulated entities in responding to inspections and examinations and represents clients in related enforcement proceedings that may arise. Pat regularly advises broker-dealers, investment advisers, investment banks, and their personnel on compliance with federal and state securities laws and rules pertaining to various aspects of their business, including retail and institutional trading, sales practices, municipal securities activities, trade reporting, internal controls, disclosure requirements, and supervision. As part of his compliance counseling, Pat has considerable experience conducting internal investigations on behalf of public companies and their audit committees.
In addition to his many years of private practice, Pat previously worked as Regulatory Counsel for both Paine Webber, Inc. and Shearson Lehman Bros. He also spent six years in the SEC’s Division of Enforcement in Washington, DC, most recently as a Branch Chief, where he was responsible for overseeing the investigation of a broad range of potential violations of the federal securities laws and related enforcement proceedings.
Pat has been recognized in Legal 500 USA 2007 for his prominence in Securities/Shareholder Litigation and is a Firm Action Group Leader for Securities Enforcement & Investigations.
Education:
Brooklyn Law School, JD, 1985, New York University, BA in Economics/Classical Civilization, 1982. | 