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Richard D. Marshall
Partner
Ropes & Gray
1211 Avenue of the Americas
New York, NY 10036-8704
T +1 212 596 9006
F +1 646 728 1770
+1 212 596 9262 secretary
E-mail
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Practice
Richard Marshall is a partner in the Investment Management and Securities Litigation groups of Ropes & Gray. Since entering private practice, Rick has conducted compliance reviews and provided compliance counseling for investment companies, investment advisers, hedge funds, and broker-dealers; represented individuals and regulated entities in inspections, investigations, and litigation against the Securities and Exchange Commission, self-regulatory organizations, state securities regulators, and U.S. Attorney's offices; created hedge funds; provided advice on the creation of new products for investment companies, investment advisers, hedge funds, and broker-dealers; and counseled investment companies, investment advisers, hedge funds, and broker-dealers on regulatory matters.
Professional Experience
Before joining Ropes & Gray, Rick had been Senior Associate Regional Administrator in the New York office of the Securities and Exchange Commission. In that position, he supervised a staff of seventy that conducted inspections of investment companies and advisers in the New York region and oversaw enforcement matters related to those entities. Rick has also been a branch chief in the Division of Enforcement of the Securities and Exchange Commission in Washington, D.C.
Publications
- Richard D. Marshall, "Hints of New SEC Priorities," SecuritiesLaw360 (February 20, 2009)
- Richard D. Marshall, "Rumor-Mongering In the Crosshairs," New York Law Journal (February 9, 2009)
- "SEC adopts controversial anti-fraud rule with potentially sweeping implications," Richard Marshall and Anne Green, Bloomberg Corporate Law Journal, Vol. 2 516-536 (Fall 2007)
Professional & Civic Activities
- American Bar Association
- Journal of Financial Regulation & Compliance, Editorial Board
Bar Admissions
- New York
- District of Columbia
Courts
- State of New York Court of Appeals
- U.S. Court of Appeals for the District of Columbia Circuit
- U.S. District Court for the Eastern District of New York
- U.S. District Court for the District of Columbia
- U.S. District Court for the Southern District of New York
Education
- 1980,
J.D., The University of Chicago Law School
- 1977,
M.A., University of Toronto
- 1975,
B.A., Yale University
©2010 Ropes & Gray LLP. All rights reserved.
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