Shulman Rogers Welcomes Former Senior FINRA Official Jeffrey S. Holik
June 2, 2015
POTOMAC, Md. (June 2, 2015) – Shulman Rogers is pleased to announce that Jeffrey S. Holik, former chief counsel at The PNC Financial Services Group, is joining the firm as shareholder in the firm’s Financial Industry Regulatory Group. Holik previously served as senior vice president for the Financial Industry Regulatory Authority (FINRA), and is the second FINRA alumnus to join Shulman Rogers in less than one year.
“Jeff’s background and goals are wholly aligned with the needs of our financial services clients. He has a deep understanding of how financial institutions operate and the regulatory and compliance challenges they face,” said Scott Museles, co-chair of Shulman Rogers’ Business & Financial Services Department. “He is highly regarded for his work in the sector and we are privileged to welcome him to the team.”
Holik is an accomplished financial services lawyer with a diverse background having served as a regulator, chief legal officer and a private practitioner. His areas of focus include securities and bank regulatory compliance, investigations, enforcement matters, rulemaking and policy development, enterprise governance, risk management, alternative dispute resolution and advocacy. At Shulman Rogers, Holik will advise broker-dealers, investment advisers and investors on regulatory compliance and risk management; mediation and alternative dispute resolution services; public policy, including investor advocacy and financial literacy; and expert witness services.
For nearly a decade, Holik held the role of chief counsel, broker-dealer, at The PNC Financial Services Group, serving as chief legal officer for PNC Investments, a bank-affiliated retail broker-dealer and registered investment adviser. He provided counsel to PNC Capital Markets, an institutional middle market broker-dealer, and to PNC Capital Advisors, an institutional investment adviser that supports The PNC Funds, a complex of ’40 Act mutual funds. He also worked closely with PNC Bank’s wealth management and retail bank businesses regulated by the Office of the Comptroller of the Currency, the Consumer Financial Protection Bureau and Department of Labor. During his tenure with PNC, Holik guided the retail investment business through a period of substantial growth and change.
For 15 years prior to joining PNC, Holik served as a financial regulator at the U.S. Commodity Futures Trading Commission and, from 1997 to 2006, at the National Association of Securities Dealers (now FINRA), where he held senior roles in the Office of the President, the Department of Member Regulation, and the Office of General Counsel.
“Shulman Rogers is a well-respected firm with a long and distinguished history of providing high quality, cost-effective legal advice to its clients. I am thrilled to join the firm’s team of highly regarded financial industry lawyers and for the opportunity to once again help clients navigate the ever-more complex regulatory and investigative process. Shulman Rogers’ commitment to servicing the financial sector and focus on growing its regulatory and compliance practice gives me the ideal platform to do that,” Holik stated.
Holik is a member of the Securities and Financial Markets Association and serves as a trustee of the Historic Annapolis Foundation. He earned his Juris Doctor from The George Washington University Law School and his Bachelor of Arts degree from Union College.
Holik’s arrival comes on the heels of fellow former FINRA colleague Emily P. Gordy’s arrival to the firm. Gordy, who joined Shulman Rogers last October, serves as chair of the firm’s Financial Industry Regulatory Group. With 27 years of experience as a financial industry regulator, she works on behalf of broker-dealer, investment adviser, issuer and investment fund clients on regulatory, compliance and enforcement matters and the broad range of financial institution clients on anti-money laundering and other compliance and enforcement issues. She helps clients manage the full range of issues that arise from examinations and investigations, including anti-money laundering and suspicious activity reporting issues, a variety of sales practice issues, supervision failures, municipal rule violations, Reg SP issues and fraud.
About Shulman, Rogers, Gandal, Pordy & Ecker, P.A.
Shulman, Rogers, Gandal, Pordy & Ecker, PA is one of the largest, most respected law firms in the Washington Metropolitan area. Our attorneys are committed to client service with a focus on problem solving. Founded nearly a half century ago, the firm has 100 lawyers who provide sophisticated legal services to both business entities and individuals. Additional information on Shulman Rogers is available at ShulmanRogers.com.
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