Aegis J. Frumento

Note and Comment Editor, NYU Review of Law & Social Change, 1978-1979. Morgan Stanley Smith Barney, New York, New York, Managing Director, Head, Executive Financial Services Department, 2006-2011. Duane Morris LLP, Partner, Co-Head, Financial Markets Practice Group, 2002-2006. Singer Frumento LLP, New York, Managing Partner, 1996-2002. Principal Author: The Venture Counselor (www.theventurecounselor.com). Author: "Using Rule 10b5-1 Plans to Protect the Corporation," 8 Retirement Capital 13-15, Fall 2010. Author: "The Rich are Different: Why Small Companies Should Not Be Regulated the Same As Large Companies," The Corporate Compliance & Regulatory Newsletter, May 2006. Author: "Can't Get No Satisfaction! How Explained Decisions Will Undermine the Arbitration Process," Securities Arbitration Commentator, April 2005. Author: "Misrepresentations of Secondary Actors in the Sale of Securities: Does In re Enron Square with Central Bank?" 59 Business Lawyer 975 (May 2004). Author: "Insurance Consequences of SEC Actions," New York Law Journal Securities Litigation and Regulation Special pullout section, March 8, 2004. Author: "Using Sarbanes-Oxley Documents as Evidence," New York Law Journal, October 14, 2003. Co-Author: "The Selling Away Case: Rethinking the Firm's Defenses," Journal of Investment Compliance, Fall 2003. Author: "New Ways to Make 'Em Talk: Real Time Enforcement, Sarbanes-Oxley, and the Corporate Order," Journal of Investment Compliance, Winter 2002-2003. Contributing Author: The Securities Industry Commentator, http://www.securitiesindustrycommentator.com. Speaker, "The Latest on 10b5-1 Trading Plans: General Pros, Cons and Question Marks," in private continuing legal education course given at over 12 major law firms in New York City (certified for 1hour of CLE credit in NY), 2010-2011. Panelist, "In-House Roundtable: Best Practices for Fiduciary Compliance," American Conference Institute's National Forum on the Regulation and Enforcement of Broker-Dealers and Investment Advisors, New York 2011. Speaker, "Corporate Governance and Insider Trading: Practices, Predicaments and Problems," ShareComp 2011. Panelist, "In-House Think Tank on Minimizing Legal Risks in the Design, Implementation and Administration of Executive Compensation Packages," American Conference Institute, Forum on Executive Compensation, Chicago 2010. Speaker, "The Latest on 10b5-1 Trading Plans: General Pros, Cons and Question Marks," ShareComp 2010. Co-Chair, American Conference Institute, 3rd Annual Broker/Dealer Forum on Resolving Customer Claims-Best Defenses and Advocacy Tactics in Arbitrations and Mediation, New York 2006. Co-Chair, American Conference Institute, 3rd Annual Broker/Dealer Forum on Resolving Customer Claims-Best Defenses and Advocacy Tactics in Arbitrations and Mediation, New York 2006. Panelist, "In the Hot Zone: D&O Liability and Insurance-Updates and Trends," Risk Insurance Managers Society Annual Meeting, Honolulu 2006. Co-Chair, American Conference Institute, 2nd Annual Defense Counsel's Forum on Prevailing Against Customer Claims, New York 2005. Panelist, "Retrieval and Recovery: Ensuring Your System Complies with SEC Section 17a-4 and Optimizes Litigation/Investigation Resources," and "Erasing and Destroying Electronic Documents," American Conference Institute, Broker/Dealer Information Management, New York 2005. Speaker, "The Impact of SEC Enforcement Actions on D&O Policies," American Conference Institute's 10th National Conference on D&O Liability Insurance, New York 2004. Co-Chair, American Conference Institute, Defense Counsel's Forum on Securities Arbitration, New York 2004. Speaker, "The Distorting Impact of D&O Liability Insurance on SEC Enforcement Actions," American Conference Institute, 9th Conference on D&O Liability Insurance, New York 2003. Speaker, "Record-keeping Obligations Under the Sarbanes-Oxley Act of 2002," Annual Conference of the American Records Management Association, Boston 2003. Speaker, "From Central Bank to In re Enron: The Demise and Revival of Secondary Actor Liability," American Conference Institute, Trying and Defending Securities Class Actions, New York 2003. Speaker, "How to Appeal SRO Determinations," Association of the Bar of the City of New York, Self-Regulatory Organization Practice, New York 2003. Speaker, "Self-Regulatory Organization Practice: Defusing the Flashpoints," The Association of the Bar of the City of New York, New York 2003. Speaker, "New Developments in SEC Enforcement: Targets, Methods and Remedies," American Conference Institute, Securities Enforcement and Litigation, New York 2002. Speaker, "Representing Officers, Directors and Significant Shareholders of Public Companies," Association of the Bar of the City of New York, Introduction to the Deal: What's Involved Once Your Company Goes Public, New York 2002, and 2003. Co-Head, Financial Markets Practice.