Benjamin Cooper
Attorney at Law
Maryland
GA, IL
"Brilliant lawyer who always finds the best answer to complex regulatory problems."
About
experience
Practice Areas
Client Reviews
"Brilliant lawyer who always finds the best answer to complex regulatory problems."
"Benjamin’s strategic guidance, knowledge of securities rules and regulations and written communication skills led to truly outstanding results."
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.
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.
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.
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.
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.
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.