TEAM OF ATTORNEYS
John G. Cataldo
John G. Cataldo, serving as Of Counsel to D’Ambrosio Brown LLP, represents individuals and corporate clients on matters of corporate governance, regulatory compliance, succession planning, changes in control, mergers & acquisition, corporate finance, commercial litigation, regulatory affairs, and entity formation. Mr. Cataldo also concentrates on broker-dealer and investment adviser compliance advice and regulatory defense, with particular emphasis on state enforcement actions; self-regulatory agencies (SRO), state and SEC registration and membership; and SRO administrative enforcement actions. Mr. Cataldo was formerly a member of the securities practice group at a major international law firm and an enforcement counsel in the Securities Division of the Office of the Secretary of the Commonwealth of Massachusetts.
Mr. Cataldo was formerly Chief Compliance Officer and Counsel at a national, publicly traded, independent broker-dealer and registered investment adviser. As a member of its executive management team, Mr. Cataldo spearheaded the company’s retail compliance, licensing, fixed insurance, legal, and regulatory affairs operations. Mr. Cataldo sat on the company’s Executive Committee and was involved in planning and implementing tactical and strategic company initiatives.
Mr. Cataldo has formed and advised several national and international corporations. He has advised clients on domestic and international corporate transactions involving entities in the Netherlands, Mauritius, India, Canada, and several other nations. Mr. Cataldo has facilitated corporate transactions for public and private entities.
Mr. Cataldo’s securities practice focuses on offering compliance advice, registering firms as regulated entities (broker-dealer, investment adviser, alternative trading system and transfer agent), attaining approval of changes in control and ownership of regulated entities, responding to regulatory inquiries and investigations, negotiating settlements with regulators, conducting annual supervisory control examinations, facilitating broker-dealer agent and investment adviser representative licenses with state authorities and SROs, drafting procedures designed to comply with securities regulations, assisting firms in establishing succession planning programs, and outreach initiatives. Mr. Cataldo also assists financial services participants on strategic corporate initiatives, mergers and acquisitions, and business expansions.
Mr. Cataldo has drafted several articles on securities law topics, actively participates in roundtables and conferences conducted by the 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 varied subject matters. Mr. Cataldo is a former chairperson of the Financial Services Institute’s Compliance Council and was selected by ExecRank as a top Chief Compliance Officer (2014).