Howard Sutherland

Howard Sutherland

Attorney at Law

Mill Neck
New York
Licensed in
NY
SMU Dedman School of Law
About
I have over 20 years of legal and compliance experience in the financial services industry, including as General Counsel and Chief Compliance Officer of OTR Global and Telsey Advisory Group and General Counsel of C.E. Unterberg, Towbin and Collins Stewart LLC. I have bulge-bracket firm experience as Senior Counsel, Corporate Law, with Merrill Lynch and major law firm service as a Corporate Finance and M&A Associate with Shearman & Sterling in London and New York.

Before practicing law, I was an infantry officer in the U.S. Marine Corps and a fighter pilot in the U.S. Air Force Reserve. I am a graduate of Kenyon College and the SMU… read more Dedman School of Law. I am admitted to practice in New York.
23
Years
experience
Top 200 Firm Badge
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Practice Areas

Main Areas of Focus
Securities & Finance
Securities & Finance
  • Commercial Loan
  • Convertible Note
  • Fund Formation
  • SAFE Document
  • SEC Documents
  • Securities Regulations
  • Seed Financing
  • Series Financing
  • Stock Purchase Agreement
  • Subscription Agreement
  • Term Sheet
  • Other Securities & Finance Matter
Outside General Counsel
Outside General Counsel
  • Outside General Counsel
Commercial Contracts
Commercial Contracts
  • Affiliate Agreement
  • Business Consulting Agreement
  • Distribution Agreement
  • Equipment Lease
  • Licensing Agreement
  • Lien
  • Loan Agreement
  • Manufacturing Agreement
  • Marketing Agreement
  • Non-Disclosure Agreement (Commercial)
  • Privacy Policy
  • Profit Share Agreement
  • Publishing Agreement
  • Release of Liability
  • SaaS Agreement
  • Sales Agreement
  • Service Agreement
  • Terms of Service
  • User Agreement
  • Other Commercial Contract Matter
Other Practice Areas
Business Formation & Structure
Business Formation & Structure
  • Advisory Agreement
  • Business Licenses & Industry Regulations
  • Buyout Agreement
  • Bylaws
  • Corporate Dissolution
  • Corporate Formation
  • Corporate Restructure
  • Delaware Incorporation
  • Founders Agreement
  • Franchise Agreement
  • Franchise Disclosure Document
  • Franchise Formation
  • Joint Venture Formation
  • LLC
  • Operating Agreement
  • Partnership Formation
  • Shareholder Agreement
  • Other Business Formation Matter
Labor & Employment
Labor & Employment
  • Benefits & Compensation
  • Contractor Agreement
  • Contractor Termination
  • Employee Handbook
  • Employee Stock Option Plan
  • Employee Termination
  • Employment Agreement
  • Employment Policies & Procedures
  • Equity Compensation
  • Intellectual Property Assignment Agreement
  • Non-Compete Agreement
  • Non-Disclosure Agreement (Employment)
  • Severance Agreement
  • Worker's Compensation Claims
  • Workplace Harassment & Discrimination Claims
  • Other Labor & Employment Matter
Legal Research & Writing
Legal Research & Writing
  • Brief
  • Case Law Research
  • Letter of Intent
  • Memo
  • Other Legal Research & Writing Matter
Mergers & Acquisitions
Mergers & Acquisitions
  • Asset Purchase
  • Asset Purchase Agreement
  • Merger
  • Reverse Merger
  • Spin-offs
  • Stock Purchase
  • Other Mergers & Acquisitions Matter

Work History

Telsey Advisory Group LLC

General Counsel and Chief Compliance Officer

Dec 2015 - Feb 2017

Chief legal and compliance officer of equity research and investment banking firm, broker/dealer and investment adviser. Managed firm’s legal affairs, including regulatory compliance and corporate governance, contract negotiation and management, HR, real estate and litigation, with focus on securities laws and research regulation.

Dec 2015 - Feb 2017

OTR Global LLC

General Counsel and Chief Compliance Officer

Mar 2011 - May 2015

Chief legal and compliance officer and corporate secretary of New York and San Francisco-based global research firm (consumer; cyclicals; energy; healthcare; retail; technology/media/telecommunications; Asia; Europe), broker/dealer and registered investment adviser. Oversaw compliance and governance, contracting, HR, real estate and litigation.

Mar 2011 - May 2015

Collins Stewart LLC/C.E. Unterberg, Towbin

General Counsel

Apr 2003 - Dec 2009

Chief legal officer and corporate secretary of New York and San Francisco-based investment bank, broker-dealer and registered investment adviser; responsible for all legal affairs, corporate governance, regulatory compliance, and contract negotiation.

Apr 2003 - Dec 2009

Merrill Lynch

Senior Counsel, Corporate Law

Jul 2000 - Nov 2002

Represented Merrill Lynch in proprietary mergers, acquisitions and joint ventures, as well as in bank agreements and credit facilities. Advised on public company governance matters.

Jul 2000 - Nov 2002

Shearman & Sterling

Associate Attorney

Jan 1995 - Jul 2000

Represented U.S. and foreign purchasers, sellers and financial advisors in public and private company mergers, acquisitions, divestitures, joint ventures and private equity investments, including in the energy, aerospace and technology sectors. Advised U.S. and foreign corporate clients on corporate governance best practices and takeover defenses. Advised financial advisors on fairness opinions.

Jan 1995 - Jul 2000

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