Partner
Washington, D.C.
Bobby has significant experience advising broadly diversified financial services companies on a wide range of regulatory, transactional, corporate, disclosure and compliance matters. Bobby regularly advises broker-dealers, asset managers, banks and bank holding companies, registered funds, private funds and transfer agents in all areas of their operations. Bobby brings a unique perspective with his understanding of the Investment Company Act and registered fund operations and other adjacent areas of financial services regulation.
In addition to regularly advising registered funds, their boards, and investment advisers, Bobby has extensive experience in advising broker-dealers on federal and state securities law issues, including Regulation Best Interest, and the rules and policies of FINRA, FinCEN and other financial services industry regulators. He guides entities through the broker-dealer registration process, including novel issues related to the registration of blockchain and crypto-currency platforms under Regulation ATS. He also has extensive experience representing purchasers and sellers in corporate transactional matters involving financial services companies, including broker-dealers, and guiding them through the Continuing Membership Application process with FINRA.
Bobby provides expertise in bank regulatory matters, including permissible investments and activities under the Bank Holding Company Act, Regulation Y and the Volcker Rule, margin lending under Regulation U, and bank receivership matters. Bobby also works with large financial holding companies as well as banks, broker-dealers and asset managers on matters arising under the Dodd-Frank and Bank Holding Company Acts. He has significant experience guiding clients through conformance with the Volcker Rule and systemic risk regulation.
Bobby also helps financial institutions in all areas related to compliance with the Bank Secrecy Act and related FinCEN anti-money laundering regulations, including implementing anti-money laundering programs for investment advisers, investment companies, broker-dealers, banks and fund administrators and transfer agents.
When not working, you’ll find Bobby enjoying wine tastings with his wife, coaching lacrosse, playing hockey, and cheering his sons on in whatever sport they are playing.
“Well done is better than well said.”
Money Ball
Top Gun: Maverick
The Outer Banks in North Carolina
Steak and Potatoes
If I didn’t work for a law firm, I’d most likely be coaching lacrosse somewhere.
Bobby has significant experience advising broadly diversified financial services companies on a wide range of regulatory, transactional, corporate, disclosure and compliance matters. Bobby regularly advises broker-dealers, asset managers, banks and bank holding companies, registered funds, private funds and transfer agents in all areas of their operations. Bobby brings a unique perspective with his understanding of the Investment Company Act and registered fund operations and other adjacent areas of financial services regulation.
In addition to regularly advising registered funds, their boards, and investment advisers, Bobby has extensive experience in advising broker-dealers on federal and state securities law issues, including Regulation Best Interest, and the rules and policies of FINRA, FinCEN and other financial services industry regulators. He guides entities through the broker-dealer registration process, including novel issues related to the registration of blockchain and crypto-currency platforms under Regulation ATS. He also has extensive experience representing purchasers and sellers in corporate transactional matters involving financial services companies, including broker-dealers, and guiding them through the Continuing Membership Application process with FINRA.
Bobby provides expertise in bank regulatory matters, including permissible investments and activities under the Bank Holding Company Act, Regulation Y and the Volcker Rule, margin lending under Regulation U, and bank receivership matters. Bobby also works with large financial holding companies as well as banks, broker-dealers and asset managers on matters arising under the Dodd-Frank and Bank Holding Company Acts. He has significant experience guiding clients through conformance with the Volcker Rule and systemic risk regulation.
Bobby also helps financial institutions in all areas related to compliance with the Bank Secrecy Act and related FinCEN anti-money laundering regulations, including implementing anti-money laundering programs for investment advisers, investment companies, broker-dealers, banks and fund administrators and transfer agents.
When not working, you’ll find Bobby enjoying wine tastings with his wife, coaching lacrosse, playing hockey, and cheering his sons on in whatever sport they are playing.
Prior to joining Practus, Bobby was a partner at Dechert, LLP, where his practice focused on Financial Services and Investment Management, Banking and Financial Institutions, Regulatory Compliance, Broker-Dealers, Securities Trading and Markets and Anti-Money Laundering.
Bobby’s areas of expertise include:
Mergers & Acquisitions, including (but not limited to):
Other Transactions:
At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.
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