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Beugelmans & Partners LLP
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Last updated: 6/22/2016
Beugelmans & Partners LLP
Law Firm Member
Professional Information
Beugelmans & Partners LLP
80 Broad Street, Suite 1302
New York
New York
10004  United States
 [ Map ]
646 350-0050 (Phone)
646 604-6897 (Fax)
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  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 .
Directory Listing Information
Beugelmans, LLP
CALIFORNIA:San Francisco
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
◾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.
District of Columbia
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

150 N. Michigan Ave., Ste. 800
Chicago, IL 60601

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