Kevin Rozzi

Securities & Corporate Transactions Litigation Attorney & Head Investigator -

Abraham Fruchter & Twersky, LLP

Hoboken, NJ

ab9n1l@r.postjobfree.com - 302-***-****

o Seeking a position as a Securities Investigator & Regulatory Officer to leverage my past legal and financial

service experience as a securities regulatory investigator, litigator, and market trader.

WORK EXPERIENCE

Securities & Corporate Transactions Litigation Attorney & Head Investigator

Abraham Fruchter & Twersky, LLP - New York, NY - 2009 to Present

Shareholder Derivatives, & Antitrust Litigation Group, New York, NY

Securities & Corporate Transactions Litigation Attorney & Head Investigator, 2009 - Present

o Plaintiff-side Litigation Experience: Securities & Regulatory Investigations, Research Analyst, & Corporate

Financial Document Review

• Research and analyze legal positions taken in various securities class action lawsuits to develop case

strategy, compose memos and prepare for depositions in pending litigation

• Currently litigating cases pursuant to §11, §12 and §15 of the Securities Act (SA) of 1933 regarding offering

materials of Bond Class Securities and secondary equity offerings

• Consult in the litigation process of a securities fraud cases arising under §10(b) and §20(a) of the Securities

Exchange Act (SEA) of 1934 involving complex asset backed securities (ABS), mortgage backed securities

(MBS), fraudulent accounting practices, and improper director and officer loan programs

• Correlate company news and publicly disclosed information for fraud, insider trading, and other securities

law violations.

• Assist in a detailed review of approximately 40 million pages of discovery documentation in major shareholder

derivative cases

o Transactional & Regulatory Compliance Review Experience: Public & Private Securities Offerings, Corporate

Financial Stmts. & Records

• Review relevant equity research reports and company SEC filings to assist in argument development,

deposition preparation and case strategy

• Review and examine private placements, public securities offerings and filings, and corporate financial

statements and records.

Proprietary Trader & Capital Market Strategist

Assent, LLC - Equity & Debt Capital Markets - Manhattan, NY - 2008 to 2009

Manhattan, NY

Proprietary Trader & Capital Market Strategist, 2008- 2009

o Securities Trader & Equity Capital Markets Strategist Experience: Trading, Execution, Portfolio Analyst &

Monitor, Risk Management

• Autonomously executed trades in NYSE and NASDAQ equities, options, and AMEX ETFs utilizing Anvil

trading platform on a proprietary desk that generated an estimated $1.5M in revenue per quarter

• Acquired an advanced understanding of trading strategies, margins, and risk management. Conducted

extensive research and analysis on all products traded, and then utilized knowledge for best execution trading

activities for all ECNs and hybrid market products

• Performed a risk analysis of electronic trades and reconciled personal P/L with trades at the close of trading

utilizing Excel

o Securities Regulation & Compliance Experience: Federal & State Securities Rules & Regulations, and

Compliance Examinations

• Interfaced with compliance personnel to aid in resolving trade/break error issues. Completed advanced

compliance training courses

Kasowitz, Benson, Torres, & Friedman LLP - Manhattan, NY - 2006 to 2008

Corporate/Securities Group, Manhattan, NY

Doar Litigation Consulting, LLC - White Collar Criminal Defense Group, Manhattan, NY

Sills, Cummis, Epstein & Gross, PC - Newark, NJ

Securities & Regulatory Compliance and Corporate Transactions Litigation Attorney & Investigator (Consultant

Positions), 2006- 2008

o Defendant-side Litigation & Investigations Experience: Anti-trust, Securities & Regulatory Compliance, &

White Collar Criminal Defense

• Conducted online document review and investigations for positions taken in complex litigation

• Reviewed FX option confirmations, ISDA Agreements (2002 definitions), KYC forms, and other trade

confirmations for responsiveness to the criminal defense case. Extensively reviewed email and other forms

of electronic discovery material.

• Created privilege log of 7,500 documents, formulated arguments to support privilege designation, and •

Managed second level and quality control review teams in all three consultant roles

Proprietary Equities Trader & Market Strategist

Caliber Financial Management, LLC - Jersey City, NJ - 2005 to 2006

Proprietary Trading & Equities Strategist Group, Jersey City, NJ

Proprietary Equities Trader & Market Strategist, 2005- 2006

o Securities Trader & Equity Capital Markets Strategist Experience: Trading, Execution, Portfolio Analyst &

Monitor, Risk Management

• Traded NYSE equities in a fast paced high-pressure trading environment by executing trades through several

trading platforms

• Utilized several trading strategies including: tape reading, scalping, momentum trading, and trend trading

based on market indicators

• Personally accounted for up to 30% of the total daily volume in certain small cap oil and steel NYSE traded

equities

• Executed an average of 120K shares per day. Individually managed $500K of buying power intraday and

$100K overnight positions

o Securities Regulation & Compliance Experience: Federal Securities Law, Rules, Regulations, Policy, &

Procedure Compliance

• Traded during Regulation SHO rollout and interfaced with compliance to resolve regulation issues pertaining

to executed trades

LICENSE, TRAINING, & CERTIFICATIONS

Attorney License & Admission:

o New Jersey State Bar, & United States District Court of New Jersey

Continuing Legal Education (CLE) & New York Institute of Finance:

o Dodd-Frank, Securities Enforcement, Anti-Money Laundering (AML)

Financial Industry Regulatory Authority (FINRA)

o Series 7, Series 63, Series 55, Full Trader/Equity Trader/Mutual Fund Trader

EDUCATION

J.D.

Widener University School of Law - Wilmington, DE

May 2003

Bachelor of Arts

University of Delaware - Newark, DE

May 2000

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