Beugelmans, LLP serves individual, corporate and institutional clients in securities and commercial litigation and arbitration proceedings, securities regulatory matters, securities compliance, and employment litigation. Through its national practice, our firm has built its reputation for excellence in client service, aggressive and professional trial advocacy, and judicious legal counseling. With prior experience at some the most prestigious law firms and investment banks in the world, the attorneys at Beugelmans, LLP are regularly sought as counsel to tackle complex legal and factual issues or to provide aggressive and cost-effective representation. With offices in New York City, Chicago and San Francisco, Beugelmans, LLP attorneys regularly appear in state and federal courts in New York, Illinois, California, Washington, D.C., New Jersey and Massachusetts, in addition to handling arbitrations, mediations and regulatory proceedings throughout the United States. Representative clients include Morgan Stanley, Charles Schwab, Fisher Investments, JMP Securities, Safra National Bank of New York, and Angelo, Gordon & Co.
In his bi-coastal trial and advisory practice , Mauricio represents select institutional and individual clients in the areas of securities and commercial litigation and arbitration, employment, and regulatory proceedings. Mauricio also provides compliance and regulatory counsel to numerous broker-dealers, investment advisers and hedge funds. Prior to founding Beugelmans, LLP, Mauricio served as an Executive Director and the Compliance Counsel for Morgan Stanley & Co. Incorporated's Global Wealth Management Group in New York. As Compliance Counsel, Mauricio served on the Morgan Stanley New Product and Heightened Supervision Committees. Previously, Mauricio served as an Executive Director/Vice President, Supervising Attorney in Morgan Stanley's Litigation Groups in San Francisco and New York. In that capacity, Mauricio supervised a team of trial lawyers and numerous outside counsel in addition to handling hundreds of internal investigations and securities litigations, arbitrations and regulatory matters across the country. Before joining Morgan Stanley, Mauricio was a Senior Associate at Steefel, Levitt & Weiss in San Francisco. He began his legal career in 1999 as Corporate Counsel for Charles Schwab & Co., Inc.’s litigation and arbitration division. Mauricio splits time between New York City and the San Francisco Bay Area, where he lives with his wife, Sara, and sons Jacob and Colin .
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CALIFORNIA:San Francisco NEW YORK:New York ILLINOIS:Chicago
FINANCIAL SERVICES REGULATION: SECURITIES:Asset Securitizations SECURITIES:Black-Out Period Management SECURITIES:Conflict Of Interest Policies SECURITIES:Forms Form 10-K 10-Q And 8-K SECURITIES:Going Private; Other Tender Offers SECURITIES:Insider Trading Policies & Reporting SECURITIES:Nasdaq, Exchange Requirements & Reporting SECURITIES:NYSE, Exchange Requirements & Reporting SECURITIES:Private Placements: Equity, Debt, & Hybrid SECURITIES:Public Finance: Offerings & Continuing Disclosure SECURITIES:Public Offerings: Initial & Secondary SECURITIES:PIPEs, Debt Exchanges, Other Hybrids SECURITIES:Proxy Statement & Annual Report SECURITIES:Regulation FD Policies & Compliance SECURITIES:Rule 144 Transactions SECURITIES:SEC Reporting & Compliance SECURITIES:Section 16 Reporting ALTERNATIVE DISPUTE RESOLUTION: LABOR AND EMPLOYMENT:Arbitration LABOR AND EMPLOYMENT:Counseling LABOR AND EMPLOYMENT:Whistle Blowing LITIGATION:
◾Represented individual seeking investment adviser registration in SEC follow-on proceeding; defeated Division of Enforcement’s motion for summary disposition. ◾Represented major brokerage firm in successful FINRA arbitration, securing full award for firm and defeating multi-million dollar employment-related counter-claims. ◾Serve as lead legal counsel for broker-dealer affiliate of international bank holding company regarding self-clearing conversion. ◾Serve as compliance counsel to top-tier investment bank on a variety of regulatory issues including research, sales and trading. ◾Represented numerous registered investment adviser clients in arbitration proceedings before JAMS and AAA. ◾Resolved two separate FINRA enforcement actions for hedge fund portfolio manager and prime broker representative through negotiation of AWCs with FINRA. ◾Represented plaintiff financial services company in the Southern District of New York alleging fraudulent naked short selling and breach of contract against hedge fund; judgment in favor of plaintiff for entire relief sought. ◾Representing defendant privately-held registered investment adviser in Bankruptcy Court in adversary proceeding concerning fraudulent transfer claims in excess of $50 million. ◾Represented large non-profit organization in New York Court of Claims in breach of contract case against New York State; $3 million settlement approved by Judge on eve of trial. ◾Representing investment adviser/broker-dealer firm in 40-day FINRA arbitration concerning alleged breaches of loan agreements, protocol violations and various employment claims. ◾Represented a health optimization company in a commercial arbitration before AAA; secured full withdrawal of claims with no payment from client. ◾Represented major brokerage firm in New York state court, successfully defeating motion to vacate arbitration award and securing cross-motion to confirm arbitration award. ◾Represented defendant underwriter in Southern District of New York concerning fraud and mutual mistake claims in connection with sale of asset backed securities; motion to dismiss granted. ◾Represented defendant investment adviser firm in New York State court concerning Estate claims in connection with disputed account.
California District of Columbia Illinois Massachusetts New York
U.S. Court of Appeals for the Ninth Circuit U.S. District Court, Central District of California U.S. District Court, Eastern District of NewYork U.S. District Court, Northern District of California U.S. District Court, Northern District of Illinois U.S. District Court, Northern District of NewYork U.S. District Court, Southern District of California U.S. District Court, Southern District of NewYork