Securities Counsel

Roberta Vassallo

**** ******* **. *********, ** *0853

760-***-**** ***************@*****.***

Legal Experience

Financial Industry Regulatory Authority (FINRA) Rockville, MD

Counsel (November 2012-present); Senior Attorney (April 2011-November 2012); Investigative Attorney CDT (July

2009-April 2011)

Department of Enforcement

Provide interpretive advice to FINRA staff and management regarding federal securities laws, securities industry

standards, FINRA/NASD rules, and FINRA Codes of Procedure

Orchestrate dozens of complex investigations pertaining to securities industry violations, gather and analyze

voluminous documents and trading data, interface with external departments, and present findings and

recommendations to management

Negotiate and author intricate settlements with broker-dealers; represent FINRA in a first-chair capacity in depositions;

manage all aspects of litigation, including extensive discovery and comprehensive motion practice

Common case topics include: 10b-5, structured products, private placements, AML, sales practice, supervision

Organized national sweeps and targeted special investigations

Bloomberg Law New York, NY

Legal Analyst (February 2009-June 2009)

Researched legal principles to their inception

Reviewed case law to extract and draft holdings for publication

Cadwalader, Wickersham &Taft LLP New York, NY

Contract Attorney (November 2008-January 2009)

Assisted a German private equity fund in litigation in the U.S.A.

Advised international fashion designer on license agreements

Condon & Forsyth LLP New York, NY

Associate (May 2007-August 2008)

Conducted long-term investigations into multifaceted commercial litigation matters

Drafted court documents and client opinions on various business and commercial litigation matters

Drafted corporate documents including stockholder and operating agreements, nondisclosure agreements and IPOs for

international companies

Advised national and international clients on corporate governance, Sarbanes-Oxley compliance, as well as potential

contractual liabilities

Luce, Forward, Hamilton & Scripps LLP San Diego, CA

Legal Intern (Spring 2006); Attorney (August 2006-March 2007)

Drafted motions and appellate briefs on various business litigation matters

Drafted memoranda of law on international issues and cross-border employment law

Co-authored an article for publication regarding conflicts of laws

White & Case LLP Milan, Italy

Summer Associate (Summer 2005); Offer Extended

Drafted memoranda of law regarding M&A and international tax issues

Drafted contracts for the sale and purchase of assets, due diligence reports, companies’ bylaws and documents

conferring powers to officers and directors

Advised international companies on Sarbanes-Oxley compliance

Education

California Western School of Law San Diego, CA

J.D., 2006

Dean’s Honor List

Academic Achievement Award in International Business Transactions

Oral Advocacy Competition Winner

Washington University in St. Louis Saint Louis, MO

Ph.D., German and Comparative Literature, May 2004

Dean’s Scholarship Award

Merit Scholarship recipient, Summer 2000, Summer 2001, Fall 2002

University of Genoa Genoa, Italy

B.A., magna cum laude, German and English Languages and Literatures 1996

Erasmus Scholarship Award

Ruhr-Universität Bochum, Department of Germanic Languages Bochum, Germany

Erasmus Scholar, 1996-1997

Publications

Brooks, John W., Roberta Vassallo, Can the Gatekeeper Initiative Be Reconciled with the Multi-

Jurisdictional Practice of Law?, 44, Int’l L., 2007

Roberta Vassallo, Heinrich Von Kleist and Ugo Foscolo: Two Kindred Spirits United Against Napoleon

Bonaparte, Washington University in St. Louis, Diss., May 2004

Other Professional Experience

St. Louis Reception Committee to Pope John Paul II San

Louis, MO

Official Translator (January 1999)

Translator for the private discussions between President Bill Clinton and Pope John Paul II during the Papal Visit to St.

Louis

Admissions and Activities

Admitted to practice in New York and Washington, D.C.

International Law Society, President 2005-2006

Saint Louis Ballet Company, Professional Ballet Dancer, Corps de Ballet 2001-2002

Courmayeur Ski Team, Val D’Aosta, Italy, 1986-1992

Contact this candidate