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Mr. Howard is a partner in the Firm�s Financial Services Group. He focuses his practice on securities enforcement, securities litigation and investment regulation. He represents broker-dealers, investment advisers, public companies, banks and individuals. Mr. Howard has represented clients in numerous formal and informal enforcement investigations and proceedings initiated by the SEC, NASD, NYSE and other self-regulatory organizations as well as state securities regulators. He has also represented clients at every stage of customer arbitrations; from the initiation of the action, through discovery, to the mediation or a hearing, and through award confirmation or appeal. Mr. Howard�s experience also includes broker-dealer and investment adviser compliance system design and review, fiduciary investment issues, regulatory registration issues, transactional disclosure matters and issues related to viatical and life settlements. Legal Experience LeClairRyan, Washington, D.C., 2001 - present McGuireWoods, LLP, Washington, DC, 1996 - 2001 Education University of Virginia School of Law, J.D., 1996 University of Pittsburgh, B.A., Rhetoric and Communication, 1987 Extended Information Representative Matters Represented broker-dealer in FINRA investigation concerning variable annuity sales issues. Represented broker-dealer in NASD (now FINRA) investigation concerning research analyst�s stock transactions. Represented broker-dealer in NASD (now FINRA) investigation concerning market-timing conducted by registered representatives at brokerage firm. Represented newly formed broker-dealer on all aspect of entity registration, including Form BD disclosures, principal registrations, preparation of brokerage contracts, preparation of compliance manual, pre-member interview, and negotiation of membership agreement Represented regional broker-dealer on various regulatory disclosure issues including those related to: Form BD, Form RE-3, Form U4, Form U5, NYSE Rule 351(d), and NASD Rule 3070(c) Represented regional broker-dealer responding to questions raised during routine, and sweep, regulatory examinations conducted by SEC, NASD, NYSE (now FINRA), and various state regulators. Advised Federally Registered Investment Advisor on various soft dollar issues. Advised Federally Registered Investment Advisor on all aspect of entity registration, including Form ADV disclosures, preparation of advisory contracts, preparation of code of ethics, and preparation of compliance manual. Represented Viatical and Life Settlement provider in Constitutional challenge to state insurance laws before the 4th Circuit relating to the regulation of viatical and life settlements. Represented Viatical and Life Settlement provider in Constitutional challenge to state securities laws relating to the regulation of viatical and life settlements. Speaking Engagements Attorney�s Roundtable - Litigation Update, Life Insurance Settlement Association 13th Annual Spring Conference, New York, NY, May 16-18, 2007. Dual Registrants Plus, National Regulatory Services Dual Registrants Conference, New York, New York, July 9-12, 2001 Dual Registrants Plus, National Regulatory Services Dual Registrants Conference, New York, New York, June 1-2, 2000 Published Work Co-author, "Brokers Beware: Elder Law Issues Become Increasingly Significant to Securities Firms", with William Donnelly, The Review of Securities and Commodities Regulation, November 7, 2007 Proposed Subadviser Exemptions Compliance Reporter, November 24, 2003 Broker-Dealer Obligations to Forward Class Action Notices to Clients co-authored with Thomas J. McGonigle, Compliance Reporter, July 30, 2001 NASD Regulation of Electronic Communication, co-authored with William E. Donnelly, Thomas J. McGonigle and Saima Makhdoom, NSCP Currents, November/December 1999 NYSE and NASD Correspondence Rules, It�s More Than Just What�s in the Mail, co-authored with William E. Donnelly and Thomas J. McGonigle, NSCP Currents, November/December 1998 Recent Changes to NYSE and NASD Rules Regarding Correspondence co-authored with William E. Donnelly and Thomas J. McGonigle, NSCP National Meeting Workbook, 1998 Failure to Provide Statistical Information Regarding Customer Complaints, NYSE Rule 351(d), co-authored with Lawrence P. Sandor, Thomas J. McGonigle and William E. Donnelly, Compliance Reporter, May 25, 1998 Firm Principal�s Reporting of Indemnification and Contribution Actions on the Newly Revised Form U-4, co-authored with Thomas J. McGonigle and William E. Donnelly, Compliance Reporter, April 27, 1998 Supervision of Independent Contractors: Royal Alliance and Its Progeny, co-authored with William E. Donnelly, Thomas J. McGonigle and Lawrence P. Sandor, NSCP Currents, March/April 1998 SEC Brings a Record Number of Adviser Supervisory Cases, co-authored with Bibb Strench, The Investment Lawyer, Vol. 4, No. 10, October 1997 Proceedings Against SROs, co-authored with Lawrence P. Sandor, Thomas J. McGonigle and William E. Donnelly, Compliance Reporter, December 22, 1997 Recent Developments Concerning the Registration and Supervision of Associated Persons co-authored with William E. Donnelly and Thomas J. McGonigle, October 1997 Professional Memberships Virginia Bar Association District of Columbia Bar: Corporation, Finance and Securities Law Section Fraternity or Sorority Memberships Phi Delta Phi Admission Virginia Washington, D.C. U.S. District Court Eastern District of Virginia U.S. District Court Western District of Virginia U.S. District Court District of Columbia U.S. Court of Appeals Fourth Circuit U.S. Court of Appeals District of Columbia Circui U.S. Supreme Court Place of Birth Fairfax, Virginia. |
