Bernard “Bud” C. Daley
17 Bon Mar Road
Pelham, NY 10803
NY (1990), E.D.N.Y. and S.D.N.Y. (1991); NJ (1989)
JPMorgan Chase New York, NY
September 2014 to March 2016
Attorney: Reviewing and analyzing ISDA, Currency Overlay Management Agreements, Custody Agreements, Account Servicing Agreements, Trust Agreements and Clearing Agreements in connection with Regulation QQ promulgated under Section 165(d) of Dodd-Frank.
Bernard C. Daley, Esq. Pelham, NY
November 2009 to September 2014
Attorney: General practice, advised clients on financial legal issues including trusts and estates, debt, credit, tax and bankruptcy. Defended clients in municipal courts.
Ulmer & Berne, LLP Cleveland, OH & New York, NY
May 1999 to May 2001
Of Counsel: Oversaw and managed all arbitration matters for First Union Bank nationwide. Assessed and managed risk exposure and dispensed litigation advice to management. Formulated and executed case strategies, prepared witnesses and evidence for depositions, hearings and trials. Defended and conducted depositions in federal and state courts and prepared witnesses for appearances before regulatory agencies including the SEC, NYSE, CFTC, state agencies and other SRO’s. Supervised support staff including junior attorneys and paralegals.
Daley & Casparian New York, NY
July 1989 to April 1999
Partner: Practiced securities and general corporate law and advised brokerage firms
on regulatory matters. Drafted compliance manuals and written supervisory procedures and provided litigation consulting services. Counseled clients concerning MSRB rules and regulations. Acted as liaison for broker dealers during regulatory examinations and audits. Oversaw and managed a wide range of matters generated by various divisions of financial firms: investment banking, equities and fixed income, capital markets, investment management and human resources. Substantive legal areas of expertise in addition to general litigation include: securities, employment, intellectual property, insolvency, regulatory matters, compliance and transactions.
Eastern Design Tile & Marble, Inc. Larchmont, NY
May 2002 to October 2009
Vice President: Managed estimating department; supervised projects; represented company at job meetings; assisted in corporate planning and budgeting.
Wall Street Office Services New York, NY
June 2001 to May 2002
Proprietor: Managed offices suites, virtual offices and office services company.
Boston University School of Law Juris Doctorate 1989
American Jurisprudence Award – Evidence
Thesis – Mutual Fund 12b-1 Fees
Brown University Bachelor of Arts 1986
Applied Mathematics – Economics
Varsity Wrestling, Delta Tau Delta Fraternity, Undergraduate Activities Board
Coaching: Hockey, Football, Baseball and Soccer
Sports: Ice Hockey, IM France 2011, IM Lake Placid 2012 & IM Louisville 2013
After a decade of solving problems from the perspective of a business executive, I have returned to analyzing regulatory issues concerning financial institutions. My corporate experience has helped me hone my skills at assessing emergent issues and resolving them effectively. I am eager to apply my skills to litigation and regulatory matters in the financial sector in a fast paced environment that handles diverse issues.