Management Vice President

Gregory C. Tevis

**** *** ***** **** *****: 805-***-****

Thousand Oaks, California 91320 E-mail: abmnij@r.postjobfree.com

Corporate Counsel

Licensed to Practice Law in the States of California and Colorado

Seasoned and battle-tested Attorney with expertise in Corporate and

Securities Law, Finance, Labor Law and Regulatory Compliance. Proven

success leading and managing staffs, internal investigations, reducing

risk, resolving complex legal matters and policy issues, and promoting

sound and sustainable business growth. Broad-based experience serving as

General Counsel to the CEO of a Division of three publicly held firms, and

as an Enforcement Attorney with the U.S. Securities and Exchange

Commission. Recognized for sound judgment, strategic foresight, and

unsurpassed ethics. Ability to maximize the integrity of the organization

by proactively identifying and resolving potential problems before they

become critical. Areas of expertise include:

Corporate Law- Securities Law - Regulatory Compliance - Administrative

Law

Defining and Instituting Best Practices - Arbitration and Litigation -

Employment Law

Streamlining Legal and Business Functions - Trusted Advisor to C-Level

Executives

CAREER HISTORY and SELECT ACHIEVEMENTS

Smith Barney, California, Texas and Colorado 1986 - 2009

Formerly a division of Citigroup Capital Markets, Smith Barney merged with

Morgan Stanley in January 2009 to form Morgan Stanley Smith Barney. The

combined brokerage house has approximately 18,500 brokers and managers with

$1.7 trillion AUM.

Division Counsel - Director (Los Angeles; 1995 - 2009)

Division Counsel - Director (Houston; 1993 - 1995)

Division Legal Officer - Shearson Lehman Brothers (Los Angeles; 1989 -

1993)

Division Counsel - Senior Vice President, EF Hutton (Denver; 1986 - 1988)

Recruited to serve as General Counsel of EF Hutton's Mountain States Region

and spearhead efforts to improve the unit's legal function. Transferred by

the Company twice to replace terminated Division Counsel and resolve

compliance issues and guide efforts to improve the Divisions'

effectiveness. Counseled Divisions' CEOs, administrative and regional

directors, compliance officers and support teams. Accountable for legal and

compliance issues, internal investigation, investigating/responding to

complaints, strengthening internal controls and risk management, and

implementing best practices. Accountable for responding to labor law

issues, approving new hires in regions, and served as liaison with

regulatory authorities. Retained and managed the work of outside counsel.

. Reduced dispute resolution-related costs by 90%. Devised a case

management and cost reduction system that was so successful at

Shearson, it was subsequently adopted by Citigroup.

. Recognized as a Firm Expert on evaluating and providing counsel on all

phases of corporate activity, including finance, labor, and regulatory

matters.

. Developed a case study system for supervision training, which was

initially implemented at Shearson and later adopted by Smith Barney.

. Authored a series of observations on best corporate practices, now a

copyrighted compilation entitled, Observations of an In-House Counsel.

Gregory C. Tevis Page Two

Smith Barney Continued

. Played a critical role in personally conducting management training,

which saved an unquantifiable amount of money by significantly

improving overall best practices, and protected the careers of

employees.

. Practice portfolio expanded past regulatory consulting, compliance and

labor law to include: two Firm cases related to murder, several theft

cases, and six embezzlement cases.

. As Division Legal Officer for Shearson, in charge of all risk

management initiatives for the Western Division business unit.

Early Career History

Partner / Attorney - Private Practice, Denver, CO

Practice focused on general corporate law, financial, civil litigation and

regulatory investigation and enforcement defense. Formed several

broker/dealers, investment advisory firms, and corporations. Defended civil

and criminal charges alleging securities fraud. Represented issuers and

underwriters in public offerings.

Enforcement Attorney - U.S. Securities and Exchange Commission, Denver, CO

Investigated and prosecuted securities fraud on behalf of federal

government in civil injunctive actions and administrative proceedings.

Law Clerk - Colorado Court of Appeals, Denver, CO

Judicial Law Clerk for the Honorable Edwin P. Van Cise, Court of Appeals.

EDUCATION

JD, Vanderbilt University School of Law; Nashville, TN

BA, University of Maryland; College Park, MD . Degree in Economics

LICENSES

California State Bar . Colorado State Bar

PROFESSIONAL AFFILIATIONS

California Bar Association . Colorado Bar Association

National Association of Compliance Professionals

Alumni of the Securities and Exchange Commission

MILITARY

United States Marine Corps . Honorable Discharge

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