The Professionals of the Securities Practice Group

Promontory’s Securities Practice Group is sophisticated and seasoned, consisting almost entirely of former senior regulators with private-sector experience. In addition to the knowledge and leadership of Arthur Levitt and Frank Zarb, our other team members have extensive experience in complex regulatory and compliance matters as well as conducting internal fact-finding investigations and serving as independent compliance consultants. As former senior government officials, we understand the expectations of the SEC, NASD, PCAOB, CFTC, and banking and other federal regulators. As former senior executives with public and private-sector companies, we also fully appreciate the imperative of conducting timely, thorough, and responsive reviews and assessments of compliance and regulatory issues while continuing to manage effectively ongoing business operations and relationships with regulators.

Depending on the nature of the substantive issues as well as the magnitude and scope of the client work, we can and will deploy additional Promontory Financial Group senior professionals with expertise in accounting, economics, investments, and finance to effectively serve our clients’ needs.

Below are brief biographies of the members of the Securities Practice Group. For a complete biography, simply click on the individual’s name.

		Arthur Levitt – Co-Chairman of the Securities Practice Group Former Chairman of the Securities and Exchange Commission and Chairman and CEO of the American Stock Exchange.
		Frank Zarb – Co-Chairman of the Securities Practice Group Former Chairman and CEO of the National Association of Securities Dealers (NASD) and The Nasdaq Stock Market, Inc., Chairman and CEO of Smith Barney, and Assistant to the President for Energy Affairs (the Energy Czar).
		Kathleen Hamm – Managing Director of the Securities Practice Group Former Senior Vice President of Regulation and Compliance for Nasdaq Liffe Markets, and Assistant Director of Enforcement at the SEC.
		Pierre de Saint Phalle – Managing Director Former Senior Partner at Davis Polk & Wardwell in charge of their asset management practice.
		Michael Sullivan – Senior Principal Former Associate General Counsel at the Public Company Accounting Oversight Board (PCAOB), Assistant Vice President of Market Regulation at Nasdaq Liffe Markets, and attorney with the SEC Division of Enforcement and the Office of the General Counsel.
		Marilyn Weimer – Senior Principal Former Special Counsel at the PCAOB, and Senior Counsel in the SEC Office of Chief Counsel of the Division of Enforcement.
		Timothy Skiendzielewski – Senior Analyst Former Senior Consultant for Litigation and Investigations at Navigant Consulting, Inc.
		Jonathan Kropf – Senior Analyst Former Securities Compliance Examiner in the SEC Office of Compliance Inspections and Examinations.

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For more information regarding the Promontory Securities Practice Group, please contact Kathleen Hamm, Managing Director, at (202) 384-1022 or khamm@promontory.com