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Cole Beaubouef is an associate in the Lowenstein Sandler Corporate Group and member of the Investment Management Group.
Mr. Beaubouef joined Lowenstein Sandler from Merrill Lynch, where he served as Compliance Consultant for the Office of General Counsel conducting research into current regulatory initiatives related to various financial products. In this role, Mr. Beaubouef also determined employee compliance with certain SEC, NASD, and state regulatory mandates in order to assess firm exposure to litigation risks due to employee activities.
From January 2004 to August 2005, Mr. Beaubouef served as a Law Clerk at Conway & Conway in New York City, where he researched and wrote memoranda on issues related to the securities and derivatives markets including SEC and CFTC regulatory initiatives. In addition, Mr. Beaubouef was involved in all phases of litigation for cases before arbitration panels and state and federal court actions.
Mr. Beaubouef also served as an Intern with the Division of Enforcement at the New York Stock Exchange throughout the summer of 2003, where he researched and drafted memoranda on securities regulation, corporate fraud and the responsibilities and procedures of self-regulatory organizations.
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SEC "Pay to Play" Rules Restrict Political Contributions by Investment Advisers
Investment Management Client Alert, July 22, 2010
Scott Moss,
David Goret,
Michael Long,
Cole Beaubouef,
Gal Davidovitch
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Dodd-Frank Bill Moves Toward Passage: Highlights of the Investment Adviser Registration Requirements,Accredited Investor Standard and the Volcker Rule
Investment Management Client Alert, July 14, 2010
David Goret,
Scott Moss,
Cole Beaubouef
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Financial Industry Regulatory Reform Approved by Joint Congressional Conference Committee
Investment Management Client Alert, June 25, 2010
Scott Moss,
Elaine Hughes,
Cole Beaubouef
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Brooklyn Law School
(J.D., 2005),
Carswell Merit Scholar, Associate Managing Editor, Brooklyn Journal of International Law, and Fellow, International Business Law Fellowship
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New York University
(B.A., 1998),
History and Middle Eastern Studies, Cum Laude
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New Jersey
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New York
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