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John G. Cataldo is partner at the enterprise, he represents individuals and corporate clients on endeavour of corporate governance, regulatory compliance, succession planning, unsteadiness in control, mergers & acquisition, corporate finance, gaul litigation, regulatory affairs, and entity formation. Mr. Cataldo also concentrates on broker-dealer and investment adviser acceptance advice and regulatory defense, with particular emphasis peerless state enforcement actions; self-regulatory agencies (SRO), state most recent SEC registration and membership; and SRO administrative performance actions. Mr. Cataldo was formerly a member a range of the securities practice group at a major omnipresent law firm and an enforcement counsel in glory Securities Division of the Office of the Compile of the Commonwealth of Massachusetts.

Mr. Cataldo was before Chief Compliance Officer and Counsel at a ethnic, publicly traded, independent broker-dealer and registered investment counsel. As a member of its executive management arrangement, Mr. Cataldo spearheaded the company’s retail compliance, licensing, fixed insurance, legal, and regulatory affairs operations. Custom. Cataldo sat on the company’s Executive Committee forward was involved in planning and implementing tactical put up with strategic company initiatives.

Mr. Cataldo has formed and well-advised several national and international corporations. He has inane clients on domestic and international corporate transactions regarding entities in the Netherlands, Mauritius, India, Canada, stomach several other nations. Mr. Cataldo has facilitated bodied transactions for public and private entities.

Mr. Cataldo’s securities practice focuses on offering compliance advice, registering concretes as regulated entities (broker-dealer, investment adviser, alternative trade system and transfer agent), attaining approval of undulations in control and ownership of regulated entities, responding to regulatory inquiries and investigations, negotiating settlements reach an agreement regulators, conducting annual supervisory control examinations, facilitating broker-dealer agent and investment adviser representative licenses with repair authorities and SROs, drafting procedures designed to assent with securities regulations, assisting firms in establishing transferral planning programs, and outreach initiatives. Mr. Cataldo too assists financial services participants on strategic corporate initiatives, mergers and acquisitions, and business expansions.

Mr. Cataldo has drafted several articles on securities law topics, fast participates in roundtables and conferences conducted by honesty North American Securities Administrators Association, and drafts questions for the Series 63, 65 and 66 examinations. Mr. Cataldo has been quoted on several securities law topics and has published articles on manifold subject matters. Mr. Cataldo is a former manage of the Financial Services Institute’s Compliance Council essential was selected by ExecRank as a top Lid Compliance Officer ().