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Chan Nam

Chan Nam is a litigator and trial attorney who represents broker-dealers and their employees in a wide range of matters.  Chan has experience in arbitrations and mediations before the Financial Industry Regulatory Authority (FINRA) and has handled high profile regulatory matters from the Securities and Exchange Commission (SEC), FINRA, and various State Securities Regulators.

Prior to joining Greenberg Traurig, Chan was a senior trial and regulatory counsel for the retail wealth management business at Morgan Stanley where he handled a large active caseload both on a first chair capacity and/or managing outside counsel.

Concentrations

  • Securities litigation and arbitration
  • Securities enforcement and regulatory investigations
  • Internal corporate investigations
  • Broker-dealer compliance

Competenze

Esperienze Professionali - Attività Accademiche

  • Represented broker-dealers and numerous financial advisors through final award in FINRA arbitrations in customer cases.°
  • Represented broker-dealer in regulatory matters before various regulatory agencies involving fixed income trading (municipal swaps, municipal syndicate flipping), securities-based loans, FA sales practice issues, TRACE trade reporting, prospectus delivery issues, non-traded REITS, AML concerns, and MSRB rules (minimum denominations, etc.).°

°The above representations were handled by Mr. Nam prior to his joining Greenberg Traurig, LLP.

  • Vice President, Morgan Stanley, Legal Department, 2009-2020
  • Citigroup Global Markets, Inc., 2006-2009
    • Vice President, Smith Barney Legal Department, 2007-2009
    • Assistant Vice President, Smith Barney Compliance Department, 2006
  • Legal Consultant, Bear Stearns Co. Inc., 2005-2006
  • National Association of Securities Dealers, 2004-2005
    • Legal Consultant, Institute for Professional Development, 2004-2005
  • Legal Intern, National Association of Securities Dealers, International Division, 2004
  • Legal Extern, New York Stock Exchange, Division of Enforcement, 2003
  • Legal Extern, Hon. Rosalyn Richter, New York State Supreme Court, Civil Division, 2003

Riconoscimenti e Premi

  • Member, Asian America Bar Association of New York

Formazione

Formazione
  • Laurea magistrale in Giurisprudenza, Fordham University School of Law, 2005
    • Member, Journal of Corporate and Financial Law
  • M.A., Political Science, Binghamton University, 2001
  • Diploma di maturità, New York University
Abilitazioni
  • New York
Lingue
  • Spagnolo, Fluente
  • Korean, Colloquiale