Charles Gittleman is Of Counsel in the Financial Institutions Advisory & Financial Regulatory practice.

He has extensive experience representing 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 the Financial Industry Regulatory Authority (FINRA) and the state securities laws. He frequently practices before the Securities and Exchange Commission, FINRA and the New York Stock Exchange, Inc. He is an authority on the rules of FINRA and the laws and rules of the states of the United States as they relate to the distribution of securities.

Charles is responsible for the formation of and/or representation of more than fifty brokerage firms and related activities, including Banc of America Securities, Inc., Banco do Brasil Securities LLC, Banco Espanol de Credito S.A., Bradesco Securities, Inc., BTG Pactual and Itaú BBA USA Securities, Inc.

Responsible for the formation of and/or representation of more than fifty brokerage firms and related activities, including:

• Banc of America Securities, Inc. (United States)
• Banco do Brasil Securities LLC (Brazil)
• Banco Espanol de Credito S.A. (Spain)
• Bradesco Securities, Inc. (Brazil)
• BTG Pactual US Capital LLC (Brazil)
• Cazenove Inc. (United Kingdom)
• Itaú BBA USA Securities, Inc. (Brazil)
• Itaú Europa Securities Inc. (Brazil)
• LarrainVial Securities US LLC (Chile)
• LBBW Securities, LLC (Germany)
• Monex Securities, Inc. (Mexico)
• Natexis Bleichroeder, Inc. (United States)
• PINE Securities USA LLC (Brazil)
• Safra Securities Corporation (United States)
• Scotia Capital (USA) Inc. (Canada)
• Securities Industry and Financial Markets Association
• Shinko Securities (U.S.A.) Inc. (Japan)
• The Hina Group, Inc. (China)
• West LB Securities Inc. (United Kingdom/Germany)

Professional Affiliations

• 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

• Member Joint American Bar Association/North American Securities Administrators Model Control Share Acquisition Drafting Committee

Awards & Accolades

• Regular speaker at Practicing Law Institute, North American Securities Administrators Analyst Education Seminars and National Association of Securities Dealers, Inc. Securities Conferences
• Charles has been at the firm since 1972