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Robert S. Frenchman
Partner
Assistant
Nicole Distefano212.508.6100 x6579
Robert Frenchman has significant experience representing broker-dealer and other financial services clients in enforcement and other proceedings before the Securities and Exchange Commission, the Financial Industry Regulatory Authority, and other securities regulators. He has played an important role in regulatory investigations involving, among other things, allocations in initial public offerings, specialist trading, Nasdaq market-making, short selling, securities lending, margin, gifts and gratuities, and research. Mr. Frenchman also has considerable experience drafting and negotiating agreements for broker-dealer clients, acting as regulatory counsel in mergers and acquisitions involving broker-dealer clients, counseling broker-dealer clients in outsourcing transactions, conducting internal investigations on behalf of broker-dealer clients, drafting policies and procedures for broker-dealer clients, and advising broker-dealer clients on securities law matters.
Prior to entering private practice, Mr. Frenchman served as a law clerk to United States District Court Judge Nauman S. Scott.
Publications
"Ask an Attorney," Compliance Reporter, August 29, 2011 (guest columnist).
"New York Court of Appeals Roundup," New York Law Journal, December 8, 1994 (assisting Sidney H. Stein).
"The Recent Revisions to Federal Proxy Regulations: Lifting the Ban on Shareholder Communications," 68 Tul. L. Rev. 161 (1993).
"United States v. Rideau: A License to Frisk in Bad Parts of Town," 67 Tul. L. Rev. 1715 (1993).
In The News
"Spoofing Case Spotlights Outside Account Risk," Compliance Reporter, August 29, 2011.
"Why Banning Short-Selling 'Doesn't Do Any Good,'" CNBC.com, August 12, 2011.
"CCOs Gear Up for Structured Product Clampdown," Compliance Reporter, August 8, 2011.
"Funds Can Take Steps to Avoid Getting Shut Out of IPOs Due to New Reg," IA Watch, May 16, 2011.
"FINRA Fields Deluge of Outsourcing Questions," Compliance Reporter, May 2, 2011.
"FINRA Preps Prop Trading Enforcement Cases," Wall Street Letter, November 22, 2010.
"FINRA to Bring Prop Trading Cases," Compliance Reporter, November 22, 2010.
"Compliance Watch: Mock Audits Raise Disclosure Concerns," Wall Street Journal, November 11, 2010.
"Watchdog Says SEC Falters on its Security, Filings," Compliance Reporter, October 18, 2010.
"Judge Busts SEC Over Follow-On Probe," Compliance Reporter, July 19, 2010.
"Compliance Costs Top Reform Worries," Compliance Reporter, May 17, 2010.
"Scandals Will Force Chang at Ratings Agencies: Attys," Securities Law 360, May 13, 2010.
"Audit Committees Wary of Anonymous Tip-Offs," Compliance Reporter, May 3, 2010.
"Industry Considers FINRA Enforcer Wish List," Compliance Reporter, March 22, 2010.
"Compliance Watch: SEC Moves to Speed Up Enforcement Actions," Wall Street Journal, August 25, 2009.
"FINRA Plots Speedier Probes," Compliance Reporter, June 29, 2009.
"Compliance Watch: Pssst! What Lawyers Say About Rumors Plan," Wall Street Journal, June 15, 2009.
"Brokers Juice Up Anti-Bribery Programs," Compliance Reporter and Wall Street Letter, May 18, 2009.
"Plaintiff Lawyers Post Discovery Docs Online," Compliance Reporter, February 9, 2009.
"High Jump: Clearing the Accredited Investor Bar," SFO Magazine, February 2009.
"FINRA Guidance Warns Against Illegal, Unregistered Resales," Dow Jones Factiva, January 16, 2008.
"SEC Re-ignites Effort to Censure Ex-Amex Chief," Compliance Reporter, January 12, 2009.
"Schapiro Faces Full Agenda as SEC Chief," Compliance Reporter, December 22, 2008.
"FINRA Proposes New Rule Governing False Rumors," Dow Jones Factiva, November 18, 2008.
"SIFMA Members Rally Behind Single Regulator Proposal," Wall Street Letter and Compliance Reporter, November 3, 2008.
"Status Quo for Goldman, Morgan Stanley Advisors," Financial Advisor Magazine, September 30, 2008.
"Business As Usual for GS, MS Advisors," Dow Jones Factiva, September 23, 2008.
"SEC to Ease Foreign Broker-Dealer Limits," Dow Jones Factiva, September 12, 2008.
"Merrill Auction Case Raises Research Rule Specter," Compliance Reporter and Wall Street Letter, August 11, 2008.
"Industry Boos SEC's Data Stance," Compliance Report and Wall Street Letter, July 21, 2008.
"Global Settlement: Study, Regulation has Cured Analyst Bias," Compliance Reporter, June 9, 2008.
"NYSE Reg Revisits Trading on Parity," Compliance Reporter, August 27, 2007.
Education
J.D., cum laude, Tulane Law School, 1993
B.A., Bowdoin College, 1989
Bar Admissions
New York
Affiliations
Securities Industry and Financial Markets Association
American Bar Association
Noteworthy
Tulane Law Review
