Howard Sutherland Attorney Profile on UpCounsel
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

Practice Areas

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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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