New York
T:
+1 212 848 7317
F:
+1 646 848 7317
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Charles
S.
Gittleman
Of Counsel
Education
Brooklyn Law School, J.D., 1969
Syracuse University, A.B., 1967
Practice
Mr. Gittleman has extensive experience in representing those clients engaged in the brokerage and investment advisory business and, in particular, in the formation and continued counseling of U.S. brokers who are affiliated with foreign financial institutions. He has participated in the formation of numerous brokerage and investment advisor firms, and is responsible for the representation of the firm’s underwriting clients under the Rules of Fair Practice of the National Association of Securities Dealers, Inc. and the state securities laws. He frequently practices before the Securities and Exchange Commission, the National Association of Securities Dealers, Inc. and the New York Stock Exchange, Inc. He is an authority on the rules of the National Association of Securities Dealers, Inc. and the laws and rules of the states of the United States as they relate to the distribution of securities. Mr. Gittleman is one of 148 attorneys in the United States who have been named to the 2008 BTI Client Service All-Star Team for Law Firms, which recognizes lawyers who deliver “the best client service to Fortune 1000 clients.” Lawyers appear on the list only when they have been named by clients in an unprompted manner through BTI’s independent research. Mr. Gittleman is one of only twelve attorneys in the United States who was named to the BTI Client Service All-Star Team lists for both 2007 and 2008. He was also named as a New York Super Lawyer for 2006. Mr. Gittleman has been with the firm since 1972.
Experience
Responsible for the formation of and/or representation of more than thirty brokerage firms and related activities, including:
- Banc of America Securities, Inc. (United States)
- Banco do Brasil S.A. (Brazil)
- Banco Espanol de Credito S.A. (Spain)
- Bradesco Securities, Inc. (Brazil)
- Cazenove Inc. (United Kingdom)
- Itaú Securities Inc. (Brazil)
- LBBW Securities, LLC (Germany)
- Monex Securities, Inc. (Mexico)
- Natexis Bleichroeder, Inc. (United States)
- Securities Industry and Financial Markets Association
- Scotia Capital (USA) Inc. (Canada)
- Shinko Securities (U.S.A.) Inc. (Japan)
- The Hina Group, Inc. (China)
- West LB Securities Inc. (United Kingdom/Germany)
Selected Professional & Business Activities
- Member, New York State Bar Association
- Member, Compliance and Legal Division of the Securities Industry and Financial Markets Association
- Member, American Bar Association
- Committee on Federal Regulation of Securities and various subcommittees
- Committee on State Regulation of Securities
- Former Chairman, Subcommittee on Internationalization
- Member Joint American Bar Association/North American Securities Administrators Model Control Share Acquisition Drafting Committee
- Speaker, Public Offerings, North American Securities Administrators Analyst Education Seminar
- Speaker, Tender Offers and Private Placements, Practicing Law Institute
- Speaker, National Association of Securities Dealers, Inc. Securities Conference
- Consultant to the Securities Industry and Financial Markets Association, Committee on Revision of the Uniform Securities Act
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