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Overview
Practice Areas
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60% Financial Markets And Services
19 years, 10 cases
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5% Securities Offerings
14 years
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5% Internet
14 years
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5% Limited Liability Company (LLC)
14 years
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5% Corporate / Incorporation
23 years
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5% Employment / Labor
14 years
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5% Ethics / Professional Responsibility
19 years
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5% International Law
19 years
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5% Arbitration
19 years
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Fees and Payment Types
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Fees
Hourly ($125-$300/hour)
Payment types
Check
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Contact Information
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Languages Spoken
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About Me
Photos (0)
Videos (0)
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Henry Wolfgang Carter is the General Counsel and Chief Compliance Officer of Global Crown Capital, LLC. He was selected as the 2007 Compliance Leader of the... more
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References
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Peer Endorsements
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Henry Carter is a leader in his field. Practitioners, clients and regulators regularly seek his counsel on compliance issues. Henry's experience as...
more
Endorsement from lawyer:
George Hampton
, Corona Del Mar (CA), Over 2 years ago
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Résumé
License
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21 years since Henry W Carter was first licensed to practice law.
| State |
License status |
Year acquired |
Last updated by Avvo |
| New York |
Currently registered
|
1991 |
05/21/2011 |
| Pennsylvania |
Active
|
1991 |
02/09/2012 |
| Dist. of Columbia |
Active
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1992 |
09/11/2009 |
We have not found any instances of professional misconduct for this lawyer.
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Work Experience
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| Position |
Duration |
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General Counsel/Chief Compliance Officer at
Global Crown Capital
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2006–present
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Consultant at
H W Carter Consulting, LLC
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2001–2005
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Associate General Counsel/Chief Compliance Officer at
ETRADE
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1997–2001
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Associate at
Clifford Chance US LLP
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1996–1997
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Senior Corporate Counsel at
Charles Schwab & Co.
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1995–1996
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Associate at
Pickard and Djinis LLP
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1991–1995
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Associate at
Carter Ledyard & Milburn LLP
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1989–1991
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See all 7 job entries
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Education
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| School |
Major |
Degree |
Graduated |
| Georgetown University Law Center |
Law |
JD - Juris Doctor |
1989 |
| California State University, Sacramento |
California State Senate Fellowship in Government |
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1986 |
| Pepperdine University |
History, German, Political Science |
BA - Bachelor of Arts |
1985 |
See all 3 degrees
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Awards
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| Award Name |
Granting Organization |
Date |
| Compliance Leader of the Year Award Nominee |
Institutional Investor/Compliance Reporter |
2008 |
| Compliance Leader of the Year |
Institutional Investor/Compliance Reporter |
2007 |
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Associations
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| Position |
Association Name |
Duration |
| Member |
Georgetown Unversity Law Center Alumni Board |
2008-present
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| Member |
California State Senate Cost Control Commission |
2004-present
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| member |
United States Supreme Court Bar |
1999-present
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| member |
American Bar Association |
1992-present
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| Commissioner |
California Bipartisan Commission on Internet Political Practices |
2001-2004
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| Member |
NASD E Brokerage Committee |
2000-2001
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| member |
NASD District Business Conduct Committee |
1999-2001
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See all 7 association entries
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Portfolio
Publications
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| Article |
Publication |
Date |
| Instant Messaging under the '34 Act and Commodity Exchange Act |
Practicing Law Institute (PLI) |
2002 |
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Speaking Engagements
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| Presentation Name |
Conference |
Date |
| Electronic Communications, Compliance & the Future |
National Regulatory Services |
2006 |
| Sarbanes Oxley |
Sarbanes Oxley |
2004 |
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