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 David Ward represents financial services clients throughout the United States, including broker-dealers, investment advisors, banks, insurance companies and publicly traded entities before the SEC, FINRA and its predecessor agencies (NYSE and NASD), CFTC, U.S. Department of Justice and state regulators. He regularly assists clients in the defense of regulatory investigations, securities sales practice cases, corporate governance matters and securities-related litigation in state and federal courts nationwide. He advises clients on compliance issues, and has acted as the Independent Compliance Consultant in Massachusetts Securities Division matters.
Mr. Ward also represents firms, directors and officers in employment litigation, including discrimination, wrongful termination, recruiting and "raiding" matters, compensation and separation agreements, and Form U-5 issues. He is nationally recognized in this field and has litigated hundreds of employment matters across the country. Mr. Ward has been named a “Massachusetts Super Lawyer” in 2006 and 2009 by Law and Politics. He has also been selected for the 2010 edition of Super Lawyers Corporate Counsel Edition, a national publication.
Mr. Ward received his B.S. and his J.D. from Oklahoma City University, where he was a Law Review member. Prior to law school, he served in the Peace Corps (Guatemala). Mr. Ward is a member of the Securities Industry and Financial Markets Association - Compliance and Legal Division, the Defense Research Institute and the Professional Liability Underwriters Society. He has been a featured speaker at the annual New England Securities Law Conference as well as the Securities Litigation Committee of the Massachusetts Bar Association. Mr. Ward is admitted to practice law in Massachusetts, Florida and Montana.
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