Niles, Barton & Wilmer, LLP welcomes Partner Michael P. Shaw, joining the firm’s Corporate Group on March 1, 2018. Shaw focuses his practice on corporate and financial services and securities regulation law. He has more than 25 years of experience as an in-house corporate and regulatory attorney in the securities and insurance industries. He serves the legal, compliance and enforcement defense needs of registered investment advisers, broker-dealers, hedge funds, private equity firms, and insurance companies.
Shaw advises start-up to middle-market firms on state/federal registration, industry best practices on risk avoidance and compliance, responding to regulatory inquiries, preparing for regulatory examinations, and defending firms in arbitration and enforcement proceedings. He holds the following certifications: Certified Regulatory Compliance Professional (CRCP), Chartered Financial Consultant (ChFC), and Chartered Life Underwriter (CLU).
“Michael’s experience will bring depth to our Corporate group, as well as a unique financial services and securities practice, an area we expect to grow,” said Craig Roswell, Niles Barton’s Managing Partner. “His leadership experience and dedication to client service compliments not only our Corporate Group, but also our Litigation, Employment and Estates and Trusts practices.
Shaw also advises business owners in general representation matters, including counseling clients through all stages of their business cycle, business formation, mergers and acquisitions and employment matters in the state of Maryland and the District of Columbia.
He is an active member of the CFA Society of Baltimore Board of Directors, SIFMA Compliance & Legal Society, and NAPFA Baltimore, as well as the Maryland State Bar Association and the D.C. Bar Association.
Prior to joining Niles Barton, he founded The Shaw Law Group, LLC, a firm that provides compliance and risk management advice and regulatory enforcement counsel. Previously, he was in-house counsel for FINRA, Monumental Life Insurance Company, and the CFP Board, where he gained expertise in securities and insurance regulations, litigation and corporate governance.
A long-time Maryland resident, Shaw received his J.D. from The Catholic University of America.
Source: Niles, Barton & Wilmer, LLP