8.2
Excellent
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Overview
Practice Areas
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60% Financial Markets And Services
16 years, 10 cases
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5% Securities Offerings
11 years
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5% Internet
11 years
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5% Limited Liability Company (LLC)
11 years
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5% Corporate / Incorporation
20 years
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5% Employment / Labor
11 years
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5% Ethics / Professional Responsibility
16 years
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5% International Law
16 years
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5% Arbitration
16 years
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Fees & Payments
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Contact Information
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Languages
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About Me
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About me: 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
Client Reviews
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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...
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Endorsement from lawyer:
George Hampton
, Corona Del Mar (CA), 3 months ago
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Résumé
Licenses
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19 years
since Henry W Carter was first licensed to practice law in NY.
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18 years
since Henry W Carter was first licensed to practice law in PA.
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17 years
since Henry W Carter was first licensed to practice law in DC.
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| State |
License status |
Year acquired |
Last updated by Avvo |
| New York |
Currently registered |
1991 |
09/19/2008 |
| Pennsylvania |
Active |
1991 |
07/02/2008 |
| Dist. of Columbia |
Active |
1992 |
08/07/2008 |
We have not found any instances of professional misconduct for this lawyer.
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Work Experience
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| Position |
Duration |
| General Counsel/Chief Compliance Officer at Global Crown Capital |
2006–present
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| Consultant at H W Carter Consulting, LLC |
2001–2005
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| Associate General Counsel/Chief Compliance Officer at ETRADE |
1997–2001
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| Associate at Clifford Chance US LLP |
1996–1997
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| Senior Corporate Counsel at Charles Schwab & Co. |
1995–1996
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| Associate at Pickard and Djinis LLP |
1991–1995
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| Associate at Carter Ledyard & Milburn LLP |
1989–1991
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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 |
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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 |
American Bar Association |
1992–present
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| member |
United States Supreme Court Bar |
1999–present
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| Member |
California State Senate Cost Control Commission |
2004–present
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| Member |
Georgetown Unversity Law Center Alumni Board |
2008–present
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| Commissioner |
California Bipartisan Commission on Internet Political Practices |
2001–2004
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| member |
NASD District Business Conduct Committee |
1999–2001
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| Member |
NASD E Brokerage Committee |
2000–2001
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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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| Speaking Engagement Name |
Conference |
Date |
| Electronic Communications, Compliance & the Future |
National Regulatory Services |
2006 |
| Sarbanes Oxley |
Sarbanes Oxley |
2004 |
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