Charles Gittleman

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Charles has extensive experience in representing clients engaged in the brokerage and investment advisory business and, in particular, in the formation and continued counseling of US 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.

Charles 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.

Expertise

Financial services advisory and regulatory Capital Markets

Industries

Financial institutions

Experience

Representative matters

Responsible for the formation of and/or representation of more than fifty brokerage firms and related activities, including Bank of America Securities., Natexis Bleichroeder, Safra Securities in the United States, Banco do Brasil Securities, BTG Pactual US Capital and Itaú Europa Securities in Brazil, LBBW Securities in Germany and Shinko Securities in Japan.

Speaking Engagements

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

Leadership Positions And Professional Affiliations

Member, New York State Bar Association

Member, Compliance and Legal Division of the Securities Industry and Financial Markets Association

Member, Committee on Federal Regulation of Securities and various subcommittees, American Bar Association

Member, Committee on State Regulation of Securities, American Bar Association

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

Qualifications

Admissions

State of New York

Academic

Bachelor of Arts, Syracuse University, 1967

J.D., Brooklyn Law School, 1969

Disclaimer

A&O Shearman was formed on May 1, 2024 by the combination of Shearman & Sterling LLP and Allen & Overy LLP and their respective affiliates (the legacy firms). Any matters referred to above may include matters undertaken by one or more of the legacy firms rather than A&O Shearman.