Richard B. Levin’s practice focuses on the representation of early stage and publicly traded companies in the financial services industry, including broker-dealers, hedge funds, alternative trading systems (ATSs), and exchanges. He represents these firms before the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), and the Financial Industry and Regulatory Authority (FINRA). Richard has represented clients before regulators in Australia, Canada, Hong Kong, Japan, and the United Kingdom. Richard also counsels companies that appear before the United States Senate and the House of Representatives.
Mr. Levin played a leadership role in the launch of two joint ventures of leading investment banks, including: Bank of America, Barclays, BlackRock, Citibank, Credit Suisse, Deutsche Bank, Goldman Sachs, JPMorgan Chase, Knight Capital Group, Merrill Lynch, Morgan Stanley, Northern Trust, State Street, and UBS, and also served in senior legal, business, and compliance positions in publicly traded and privately held financial services firms.
Before entering private practice, Richard was the Global Head of Product Development for Compliance and Operations for Deutsche Bank. He has also served as the General Counsel and Chief Compliance Officer of two U.S. ATSs and a U.K. based multi-lateral trading facility (MTF). Richard began his career on Wall Street by serving as the General Counsel of one of the original Electronic Communications Networks (ECNs), and as Assistant General Counsel and Regulatory Affairs Officer of Knight Capital Group, a leading Nasdaq market maker.
Mr. Levin is a member of the Entrepreneurship Initiative Advisory Board of the Silicon Flatirons Center for Law, Technology, and Entrepreneurship of the University of Colorado. The Advisory Board consists of respected venture capitalists, successful entrepreneurs, top executives at established companies, and attorneys that represent early stage companies. Richard is a frequent speaker at conferences on regulatory and market structure issues and the co-author of the chapter on U.S. regulation of virtual currencies for the Digital Curency Handbook to be published by Elsevier in May 2015.