International law firm Dorsey & Whitney LLP is pleased to announce that Matthew (Matt) Bromberg has joined the Firm as a Partner in the Corporate Group in its New York office.
Mr. Bromberg joins Dorsey from WBI Investments, Inc. and Millington Securities, Inc., where he served as General Counsel. During his time at WBI Investments and Millington Securities, he oversaw all legal, compliance and regulatory matters and related personnel for a complex of registered investment advisers, broker-dealers and registered investment companies, including active and passive exchange traded funds (ETFs). Mr. Bromberg was responsible for supervising all day-to-day fund, advisory, including separately managed accounts (SMA), and broker-dealer legal requirements under the Federal securities laws, self-regulatory organization (SRO) rules and other relevant laws, including ERISA. In addition, he provided strategic counsel to executive management relating to corporate governance, human resources, operational matters, intellectual property and disputes.
Prior to joining WBI Investments and Millington Securities, Mr. Bromberg was a partner at the law firms Reed Smith and King & Spalding, where he represented investment management firms and financial institutions in transactional and regulatory matters, with a focus on investment advisers, registered investment funds and private investment funds, and broker-dealers implementing a variety of investment strategies. He advises clients on Securities and Exchange Commission (SEC) and state investment adviser, broker-dealer and public and private fund regulation; Investment Advisers Act compliance programs; mock audits; and regulatory examinations and investigations; complex structuring issues; and affiliated transactions. Mr. Bromberg previously held various counsel positions at The Bank of New York Mellon, Merrill Lynch Investment Managers and Nomura Securities International.
“We are delighted that Matt has joined Dorsey,” noted Bill Stoeri, Managing Partner of Dorsey & Whitney. “He brings a wealth of investment management, fund compliance and broker-dealer regulation experience and expertise that will complement Dorsey’s strong practices and depth in the financial services industry.”
“I am delighted to be joining Dorsey and its great firm-wide team of corporate, securities, M&A and investment funds lawyers,” advised Mr. Bromberg. “Dorsey’s platform provides tremendous opportunities to grow client relationships.”