My expertise covers all aspects of the broker-dealer and investment management industries beginning with decisions on formation and all issues related to the business. I provide legal advice on among other things: agreements with customers and others, underwriting, distribution, private placement and finders, compensation arrangements, trading issues, compliance with Federal securities rules and self-regulators.
My experience covers more than 25 years of dealing with broker-dealer and investment managers.
I have been the General Counsel and Chief Compliance Officer of a boutique fixed income trading and research broker-dealer in Greenwich, CT (Libertas Partners LLC) as well as the Chief Compliance Officer for the US Trust Investment Advisers and Funds. My first position at US Trust was Director of Securities Compliance, where I built a securities compliance program for the bank.
I worked at the New York Stock Exchange where I served as a Trial Counsel in the Enforcement Division of the New York Stock Exchange for over 7 years moving on to the Market Surveillance Division where I served as Senior Counsel and Director of Special Investigations with a particular emphasis on insider trading and market manipulation investigations. Prior to the New York Stock Exchange, I was in private practice and also was an Associate General Counsel at Shearson Lehman Bros.
I am a graduate of Columbia University School of Law and Yale University. I am admitted to the bar in New York.
Bar association memberships include the New York City Bar and the American Bar Association. I have two Blogs – Davison-lawblog.com and Crowdfunding-lawblog.com.