Benjamin Cooper Attorney Profile on UpCounsel
Benjamin  Cooper

Benjamin Cooper

Attorney at Law

Potomac
Maryland
Licensed in
GA, IL
Northwestern University School of Law

"Brilliant lawyer who always finds the best answer to complex regulatory problems."

5.0 5
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 2 reviews
About
Benjamin's AmLaw100 and Fortune 500 experience enable him to provide a wide range of high quality legal services to businesses, financial institutions and financial advisors in an efficient, pragmatic and responsive manner. As a former Chief Legal Officer, he knows clients want their attorney to understand their business, provide practical advice and deliver superior work product at a reasonable cost. Drawing on his diverse experiences including as a Series 7, 24 and 65 licensed financial advisor, Benjamin is able to identify and analyze issues from multiple perspectives and craft optimum solutions in contracts, securities regulation,… read more litigation and dispute resolution and employment matters.
29
Years
experience
Top 200 Firm Badge

Representative Clients

Practice Areas

Client Reviews

5.0
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 2 reviews
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Brilliant lawyer who always finds the best answer to complex regulatory problems."

Counsel to broker-dealer compliance department
Posted on Feb 10, 2018
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"Benjamin’s strategic guidance, knowledge of securities rules and regulations and written communication skills led to truly outstanding results."

Multi-jurisdictional securities investigation
Posted on Feb 10, 2018

Work History

Securian Financial Group

Chief Legal Officer

Jan 2011 - Jan 2018

Chief Legal Officer with broad practice at large independent BD/RIA network, an affiliate of Securian Financial Group ($65 billion AUM) including managing litigation and federal, state and SRO regulatory inquiries and investigations, contracts, corporate, M&A, employment, privacy and cybersecurity.

Jan 2011 - Jan 2018

AIG Advisor Group

Associate General Counsel

Jan 2006 - Dec 2010

Managed nationwide litigation for one of the largest independent broker-dealer/RIA networks with more than 7000 registered representatives. Responsible for FINRA, SEC and State securities department regulatory inquiries and investigations. Counseled numerous constituencies including compliance, supervision, recruiting, operations and investment products.

Jan 2006 - Dec 2010

Sutherland Asbill

Securities Counsel

Jan 2004 - Dec 2006

Promoted from contract attorney to Associate and then Securities Counsel at AmLaw100 firm’s nationally recognized broker-dealer litigation practice. Integral member of team that successfully defended hundreds of Merrill Lynch research, IPO and market loss cases following tech and telecom bust. In-house expert resource on securities trading.

Jan 2004 - Dec 2006

Jones, Lemon, Graham & Clancy

Of Counsel

Jan 2003 - Dec 2003

Represented plaintiffs and defendants in professional liability and product liability insurance matters at premier boutique litigation firm.

Jan 2003 - Dec 2003

Cooper Asset Management, Inc.

Founder and Principal

Jan 1994 - Dec 2000

Established Registered Investment Adviser for high net worth individuals. Researched investments, monitored performance, prepared quarterly and annual reports, and oversaw compliance with federal and state securities laws and regulations.

Jan 1994 - Dec 2000

Peterson & Ross

Associate

Jan 1989 - Dec 1993

Represented plaintiffs and defendants in complex commercial litigation including director and officer liability, securities derivative and class action, product liability and insurance coverage and employment matters.

Jan 1989 - Dec 1993

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