DATE: Thursday, March 28th, 2019
TIME: 05:30pm – 08:30pm
LOCATION: Spanish Tavern, 103 McWhorter Street, Newark, NJ 07105
PARKING: Free Parking Lot for Spanish Tavern
CAPACITY: 50 Seats
TOPIC: “Securities Fraud”
KeyNote Speakers: Christopher W. Gerold, Esq. – Chief of the New Jersey Bureau of Securities
Refund Policy: 100% Refund, if cancelled at least 48 hours prior to the event via email request to firstname.lastname@example.org
CPE Credits: 1
Christopher W. Gerold is the Chief of the New Jersey Bureau of Securities (“Bureau”) and, pursuant N.J.S.A. 49:3-66(a), its principal executive officer. As the Bureau Chief, Mr. Gerold is responsible for the administration and enforcement of the New Jersey Uniform Securities Law and regulations, as well as management and oversight of the Bureau. The primary mission of the Bureau is the protection of New Jersey investors. The Bureau regulates the offer and sale of securities in New Jersey through its registration of securities offerings, financial professionals and companies, and enforcement of the New Jersey Uniform Securities Law. Mr. Gerold is also the current Chair of the Enforcement Section of the North American Securities Administrators Association (“NASAA”).
Mr. Gerold started his legal career as a Deputy Attorney General in the Securities Fraud Prosecution Section of the New Jersey Division of Law, where from 2005 to 2010 he represented the Bureau during investigations and as a lead trial attorney in litigated matters. Mr. Gerold represented the Bureau in some of the Bureau’s most complex and contentiously litigated matters, including cases involving suitability, Ponzi schemes, penny stock fraud, failures to supervise, and registration.
Before returning to public service, Mr. Gerold was an attorney with the law firm of Chiesa, Shahinian & Giantomasi PC (“CSG”). While at CSG, Mr. Gerold was a member of the firm’s Securities Litigation and Enforcement Group, where he conducted internal investigations for broker-dealers. Mr. Gerold also represented financial professionals and companies during regulatory investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and various state securities regulators. Mr. Gerold was also a member of CSG’s Disaster Recovery Group, where as the result of Superstorm Sandy, he represented businesses and homeowners in over 200 lawsuits for the underpayment and/or wrongful denial of claims against insurance companies. As a result of these efforts, Mr. Gerold recovered of over $23 million for policyholders.
Mr. Gerold received his J.D. degree from Seton Hall Law and his B.S. degree in finance from Villanova University. Prior to attending law school, Mr. Gerold was a registered representative, having passed the Series 7 and 63 securities exams. Mr. Gerold is admitted to the bar in New Jersey and New York.