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Mr. McGonigle is a shareholder in the Firm’s Financial Services Group. He focuses his practice on securities and investment regulation. His clients include broker/dealers, investment advisers, public companies, banks and individuals. He has experience in matters involving equity, fixed income, and derivative trading; broker/dealer and investment adviser compliance system design and review; fiduciary investment issues; regulatory registration issues; transactional disclosure issues; regulatory enforcement and grand jury representation; and litigation in federal and state courts, administrative proceedings, disciplinary hearings and arbitrations. Legal Experience LeClairRyan, Washington, DC, 2001-present McGuireWoods, LLP, Washington, DC, 1988-2001 Securities and Exchange Commission, Enforcement Division, Branch Chief, 1986-1988 Securities and Exchange Commission, Enforcement Division, Staff Attorney, 1984-1986 King's County District Attorney's Office, Brooklyn, New York, Assistant District Attorney, 1982-1984 Education Georgetown University Law Center, J.D., 1982, cum laude University of Scranton, B.S., Political Science, 1979, magna cum laude Extended Information Speaking Engagements NASD Spring Securities Conference, Chicago, IL, May 23, 2007; Topic: Disciplinary Hearing Process National Society of Compliance Professionals, 2007 East Coast Regional Meeting, New York, NY May 7, 2007; Topic: Broker-Dealer Focus on CEO Certification Lessons Learned National Society of Compliance Professionals, 2007 East Coast Regional Meeting, Boston, MA, April 23, 2007; Topic: Broker-Dealer Focus on CEO Certification Lessons Learned Sungard Protegent User Conference 2007, Park City, Utah, March 16, 2007; Topic: A Deep Breath and a Step Back: Gaining Perspective on Compliance and Supervisory Responsibilitie National Society of Compliance Professionals, 2006 National Membership Meeting, Washington, DC, October 18-20, 2006; Topic: Fundamentals of Broker-Dealer Compliance (Large Firms) NASD Office of Hearing Officers Retreat, Lansdowne, VA, October 13, 2006; Topic: Defense and Enforcement Panel Thrivent Financial for Lutherans, Advanced Development Workshop and FCG Retreat, Minneapolis, MN, October 10-11, 2006; Topic: Practice Management Tips to Keep in Compliance with WRAP Accounts National Society of Compliance Professionals, 2006 East Coast Regional Meeting, New York, NY, May 1, 2006; Topic: Red Flags and Ethics National Society of Compliance Professionals, 2005 National Membership Meeting, Alexandria, VA, October 24-26, 2005; Topic: Fundamentals of Broker-Dealer Compliance ALI-ABA, Life Insurance Products: Current Securities, Tax, ERISA, and State Regulatory Issues, Washington, DC, November 4-5, 2004; Topic: Recent SEC and NASD Enforcement Actions; Future Likely Areas of Focus National Society of Compliance Professionals, 2004 National Membership Meeting, Arlington, VA, October 27-29, 2004; Topic: Fundamentals of Broker-Dealer Compliance National Regulatory Services Fall 2004 Compliance Conference, New Orleans, LA, October 12-14, 2004; Topic: Updating Your Risk Management System RBC Dain Rauscher 2004 Client Conference, Minneapolis, MN, May 4, 2004; Topic: Here Come the Inspectors: How to Avoid a Regulatory Sanction Central Virginia Employee Benefits Council, Richmond, VA, March 3, 2004; Topic: Mutual Fund Compliance Issues National Society of Compliance Professionals, 2004 Southern Regional Meeting, Atlanta, GA, February 23, 2004; Topic: Mutual Fund Compliance Issues Virginia Continuing Legal Education Seminar, Richmond, VA, February 12, 2004, and Fairfax, VA, February 13, 2004; Topic: Claims Against Your Stockbroker; How to Advise Your Investor Client National Society of Compliance Professionals, 2003 National Membership Meeting, Arlington, VA, October 29-31, 2003; Topic: Advanced Concepts of Compliance Virginia Bankers Association CFO Workshop, Charlottesville, Virginia, September 9-10, 2003; Topic: How to Avoid an SEC Investigation National Regulatory Services Fall 2003 Compliance Conference, Charleston, SC, September 7-10, 2003; Topic: Preparing for Regulatory Examinations National Society of Compliance Professionals, East Coast Regional Membership Meeting, New York, NY, March 31, 2003; Topic: Research Analyst Conflicts National Society of Compliance Professionals, 2002 National Membership Meeting, Washington, DC, October 2-4, 2002; Topic: Broker-Dealer Regulatory Developments National Regulatory Services Fall 2002 Compliance Conference, La Jolla, CA, September 10-12, 2002; Topic: Risk Management National Society of Compliance Professionals Conference, Boston, MA, May 6, 2002; Topic: Broker-Dealer Books and Records Requirements National Society of Compliance Professionals, National Membership Meeting, Washington, DC, October 17-19, 2001; Topic: Supervisory Liability National Regulatory Services Dual Registrants Conference, New York, New York, July 9-12, 2001; Topic: A Survey of Broker-Dealer and Investment Advisor Record Retention Requirements and Trading Activity National Regulatory Services Spring 2001 Compliance Conference, Bal Harbour, FL, April 17-20, 2001; Topic: NASDR Examination Priorities National Society of Compliance Professionals, 2000 National Membership Meeting, Washington, DC, October 4-6, 2000; Topic: Electronic Brokerage National Regulatory Services Spring 2000 Compliance Conference, Miami, FL, April 16-19, 2000; Topic: Item-By-Item Guide for Conducting an Internal Compliance Examination National Society of Compliance Professionals, 1999 National Membership Meeting, Washington, DC, October 13-15, 1999; Topic: Compliance and Supervision in Small Firms Securities and Exchange Commission, Intern Program, Washington, DC, October 20, 1999; Topic: Defending SEC Investigations National Regulatory Services Fall 1999 Compliance Conference, Santa Fe, NM, September 13-16, 1999; Topic: New Focus on Suitability National Regulatory Services Fall 1999 Compliance Conference, Santa Fe, NM, September 13-16, 1999; Topic: Contingency Planning: Dealing with Last Minute Y2K Issues National Regulatory Services Spring 1999 Compliance Conference, Cerromar Beach, Puerto Rico, April 14-16, 1999; Topic: Electronic Communications with the Public Southeastern Corporate Law Institute, Mobile, Alabama, April 21-23, 1999; Topic: Developments in Corporate Finance Regulation National Society of Compliance Professionals, 1998 National Membership Meeting, Washington, DC, October 28-30, 1998; Topic: Electronic Communications National Regulatory Services, Inc., Compliance Conference for Investment Advisers and Broker-Dealers, Boca Raton, Florida, April 13-16, 1998; Topic: An Overview of Current Rulemaking at the NASD National Society of Compliance Professionals, 1997 National Membership Meeting, Washington, DC, October 8-10, 1997; Topic: Registration and Supervision of Associated Persons Published Works Fundamentals of Compliance (Large Firms Intermediate Level), co-authored with Burton Hong, Karsie Kish, Joseph D. Fleming, and Alex W.C. Cecil, National Society of Compliance Professionals Conference, Washington, DC, to be published in October 2007 Broker-Dealer Focus on CEO Certification, co-authored with James Adelman, National Society of Compliance Professionals Conference, Boston, MA, April 2007 Fundamentals of Compliance (Large Firms), co-authored with Burton Hong, Karsie A. Kish, and Joseph D. Fleming, National Society of Compliance Professionals Conference, Washington, DC, October 2006 Fundamentals of Compliance, co-authored with Karsie A. Kish and Kathleen D. Vannoy-Pineda, National Society of Compliance Professionals Conference, Alexandria, VA, October 2005 Renewed Regulatory Focus on Broker-Dealer Conflicts of Interest, co-authored with William E. Donnelly, NSCP Currents, May/June 2005 Risk Management for Broker-Dealers, co-authored with Rochelle S. Hall and Paul W. Goldstein, Securities and Commodities Regulation, Vol. 38, No. 1, January 12, 2005 Considerations in Developing Retail Broker-Dealer Market Timing Procedures, co-authored with Rochelle S. Hall and Paul W. Goldstein, ALI-ABA Conference on Life Insurance Company Products: Current Securities, Tax, ERISA, and State Regulatory Issues, Washington, DC, 2004 Updating Risk Management Systems, co-authored with Paul W. Goldstein and Sarah Sherck, National Regulatory Services Fall 2004 Compliance Conference, New Orleans, LA, 2004 Fundamentals of Compliance, co-authored with Jane E. Bates, National Society of Compliance Professionals Conference, Arlington, VA, 2004 Mutual Fund Compliance Issues: 2004, co-authored with Rochelle S. Hall and Paul W. Goldstein, National Society of Compliance Professionals Conference, Atlanta, GA, February 23, 2004 Research Analysts' Conflicts: The Regulatory Response, co-authored with William E. Donnelly, Securities and Commodities Regulation, Vol. 36, No. 20, November 26, 2003 Critical Compliance Issues: 2003, co-authored with Lindi L. Beaudreault, Mark C. Shuford and Paul W. Goldstein, 2003 NSCP National Membership Meeting, Arlington, VA, 2003 Preparing for Regulatory Examinations, co-authored with Rochelle S. Hall, National Regulatory Services Fall 2003 Compliance Conference, Charleston, SC 2003 Research Analyst Conflicts, co-authored with William E. Donnelly and Julie M. Russo, National Society of Compliance Professionals Conference, New York, New York, March 31, 2003 Responsive Arbitration Filings, co-authored with Rochelle S. Hall and Julie M. Russo, Virginia CLE, Richmond and Fairfax, VA, February 12 and 13, 2003 Critical Broker-Dealer Issues 2002, co-authored with Julie M. Russo, National Society of Compliance Professionals Conference, Washington, DC, October 2-4, 2002 Know Thy Customer: New Anti-Money Laundering and Books & Records Requirements, co-authored with Julie M. Russo, National Regulatory Services Fall Compliance/Risk Management Conference, La Jolla, CA, September 9-12, 2002 Q & A: Form 13F Reporting, co-authored with Julie M. Russo, Compliance Reporter, Vol. IX, No. 15, July 29, 2002 Broker-Dealer Books and Records Requirements, co-authored with Julie M. Russo, National Society of Compliance Professionals Conference, Boston, MA, May 6, 2002 Supervisory Liability, co-authored with Jennifer C. Toto, National Society of Compliance Professionals Conference, Washington, DC, October 17-19, 2001 NASDR Examinations: Priorities and Procedures, co-authored with Rochelle S. Hall and M. Elizabeth Parks, Review of Securities and Commodities Regulation, Vol. 34, No. 14, August 2001 Broker-Dealer Obligations to Forward Class Action Notices to Clients, co-authored with Robert P. Howard, Jr., Compliance Reporter, July 30, 2001 A Survey of Broker-Dealer and Investment Advisor Record Retention Requirements, co-authored with Julie M. Russo, National Regulatory Services Dual Registrants Conference, New York, New York, July 9-12, 2001 Trading Activity, co-authored with Robert P. Howard, Jr. and M. Elizabeth Parks, National Regulatory Services Dual Registrants Conference, New York, New York, July 9-12, 2001 NASD Examination Priorities, co-authored with M. Elizabeth Parks, National Regulatory Services Spring 2001 Compliance Conference, Bal Harbour, FL, April 17-20, 2001 Broker-Dealer Internal Investigations and In-House Remedial Measures, co-authored with Rochelle S. Hall and Julie M. Russo, National Society of Compliance Professionals Conference, New York, New York, April 2, 2001 Electronic Broker-Dealer Regulatory Issues, co-authored with Paul W. Goldstein, Robert P. Howard, Jr., and Saima Makhdoom, National Society of Compliance Professionals Conference, Washington, DC, October 4-6, 2000 Dual Registrants Plus, co-authored with Lawrence P. Sandor and Robert P. Howard, Jr., National Regulatory Service Dual Registrants Conference, New York, New York, June 1-2, 2000 Item-By-Item Guide for Conducting an Internal Compliance Examination, co-authored with Robert Mooney and Saima Makhdoom, National Regulatory Services Spring 2000 Compliance Conference, Miami, FL, April 16-19, 2000 NASD Regulation of Electronic Communication, co-authored with William E. Donnelly, Saima Makhdoom, and Robert P. Howard Jr., NSCP Currents, November/December 1999 Day Traders, Online Traders, and Member Firms: Emerging Suitability Obligations, co-authored with William Donnelly, Lawrence P. Sandor, Laura Jarsulic, and Paul W. Goldstein, Securities & Commodities Regulation, Vol. 32, No. 22, December 22, 1999 Question and Answer Regarding Online Brokers, co-authored with Lawrence P. Sandor, William E. Donnelly, and Saima Makhdoom, Compliance Reporter, Vol. VI, No. 23, November 8, 1999 Compliance and Supervision in Small Firms With Limited Resources, co-authored with Lawrence P. Sandor, Laura Jarsulic, and Paul Goldstein, National Society of Compliance Professionals, 1999 National Membership Meeting, Washington, DC, October 13-15, 1999 Y2K Enforcement and Compliance in the Securities Industry, co-authored with William E. Donnelly, Lawrence P. Sandor, George W. Erikson, and Debra S. P. Cheng, National Regulatory Services Fall Compliance Conference, Santa Fe, NM, 1999 Analyzing Suitability Obligations, co-authored with William E. Donnelly, Lawrence P. Sandor, and Paul Goldstein, National Regulatory Services Fall Compliance Conference, Santa Fe, NM, 1999 Electronic Broker-Dealers: The Newest Frontier in Trading, co-authored with William E. Donnelly and Saima Makhdoom, NSCP Currents, May/June 1999 Regulation of Online Trading, co-authored with William E. Donnelly, Lawrence P. Sandor, and Saima Makhdoom, American Bar Association, Section of Business Law, Committee on Consumer Financial Services, Annual Meeting, Atlanta, GA, 1999 A Heads-Up on Recent and Proposed Rulemaking at the NASD, National Regulatory Services Spring 1999 Conference, Cerromar Beach, Puerto Rico, 1999 New Rules Regarding Electronic Commerce with the Public, National Regulatory Services Spring 1999 Conference, Cerromar Beach, Puerto Rico, 1999 NYSE/NASD Rules Regarding B/D Representatives Split of Commissions, co-authored with William E. Donnelly and Saima Makhdoom, Compliance Reporter, March 15, 1999 NYSE and NASD Correspondence Rules: It's More Than Just What's in the Mail, co-authored with William E. Donnelly and Robert P. Howard, Jr., NSCP Currents, November/December 1998 Recent Changes to NYSE and NASD Rules Regarding Correspondence, co-authored with William E. Donnelly and Robert P. Howard, Jr., National Society of Compliance Professionals, 1998 National Membership Meeting, Washington, DC, October 28-30, 1998 It Happens To The Best of Families: Protecting Your Firm In Criminal Investigations, NSCP Currents, July/August 1998 Pension Funds as Claimants in Arbitration: Using the NASDR’s Large and Complex Case Rules, co-authored with Stephen T. Gannon and Rochelle S. Hall, Practicing Law Institute, Securities Arbitration 1998, New York, NY and San Francisco, CA, July 1998 Failure to Provide Statistical Information Regarding Customer Complaints, NYSE Rule 351(d), co-authored with Lawrence P. Sandor, William E. Donnelly, and Robert P. Howard, Jr., Compliance Reporter, May 25, 1998 Firm Principal's Reporting of Indemnification and Contribution Actions on the Newly Revised Form U-4, co-authored with William E. Donnelly and Robert P. Howard, Jr., Compliance Reporter, April 27, 1998 Supervision of Independent Contractors: Royal Alliance and Its Progeny, co-authored with William Donnelly, Robert P. Howard, and Lawrence P. Sandor, NSCP Currents, March/April 1998 SRO Report: Privilege and the New NASD Code of Procedure, co-authored with William E. Donnelly, The Securities Reporter, vol. 3, issue 1, Spring 1998 Dissemination of In-House Research, co-authored with William E. Donnelly, Compliance Reporter, Vol. V, No. 4, February 16, 1998 Proceedings Against SROs, co-authored with Lawrence P. Sandor, William E. Donnelly, and Robert P. Howard, Jr., Compliance Reporter, December 22, 1997 Recent Developments Concerning the Registration and Supervision of Associated Persons, co-authored with William E. Donnelly and Robert P. Howard, Jr., National Society of Compliance Professionals, National Membership Meeting, Washington, DC, October 8-10, 1997 Turning Trading Inside Out, co-authored with William E. Donnelly, Legal Times, July 14, 1997) Judgment Day for Insiders, co-authored with William E. Donnelly, Legal Times, February 24, 1997 Securities and Exchange Commission's Order-Handling Rules, co-authored with William E. Donnelly, Susan Morley Olson, and Amyli A. Cabiling, NSCP Currents, January/February 1997 Recent Changes in Rule 10b-10's Confirmation Delivery Requirements, co-authored with Jonathan R. Tuttle and Polly A. Nyquist, NSCP Currents, January/February 1995 Recent Developments Regarding the NASD's Mark-up Interpretation, co-authored with Wallace L. Timmeny, and Penelope Y.F. Tham, NSCP Currents, September/October 1992 Defending Broker-Dealers: Current Regulatory and Enforcement Issues, co-authored with Wallace L. Timmeny and Penelope Y.F. Tham, Twenty-Fifth Annual Rocky Mountain State-Federal-Provincial Securities Conference, Denver, CO, 1992 Common Issues Arising In Penny Stock Broker-Dealer Investigations, co-authored with Wallace L. Timmeny, Securities Enforcement Institute, New York, NY, 1989 Classes and Seminars Taught In-house seminars presented to: Scott & Stringfellow, Inc., Richmond, Virginia BB&T Capital Markets, a division of Scott & Stringfellow, Inc., Richmond, Virginia Davenport & Company, LLC, Richmond, Virginia Thrivent for Lutherans, Minneapolis, Minnesota Creative Financial Centre, Kokomo, Indiana RBC Dain Rauscher, Minneapolis, Minnesota Professional Memberships American Bar Association: Ad Hoc Task Force, ABA Comment Letter on the Changes to the NASD Code of Procedure, 1997 District of Columbia Bar Association: Committee on Broker-Dealer Regulation, Corporate, Finance, and Securities Law Section National Society of Compliance Professionals: Board of Directors, 1999-2001 NASDAQ Market Operations Review Committee: term ended June 2007 Admissions District of Columbi New York Place of Birth Scranton, Pennsylvania . |
