Mr. Landauer is Of Counsel at Pickard Djinis and Pisarri LLP and has been with the firm since 1997. Pickard Djinis and Pisarri is a Washington, D.C. law firm specializing in securities and corporate law and related litigation, including Securities and Exchange Commission and self-regulatory organization proceedings. The firm’s clients include major securities brokers and dealers, mutual funds, investment advisers, and other financial institutions. The firm represents clients before the SEC and other federal and state government agencies having regulatory authority over the financial services industry.
- Regulatory issues pertaining to broker-dealers, investment advisers and their employees.
- Representation of firms and individuals in disciplinary and statutory disqualification proceedings before the Financial Industry Regulatory Authority (“FINRA”), New York Stock Exchange (“NYSE”), Securities and Exchange Commission (“SEC”) and other securities regulators.
- Regulatory issues pertaining to registering broker-dealers and investment advisers at the federal and state level.
- Preparing clients for, and assisting clients in, responding to routine, sweep and for cause SEC and FINRA inspections, examinations and investigations.
- Assistance with the preparation, implementation and maintenance of broker-dealer compliance programs.
- Expert witness testimony in federal and state courts.
- Assistance with FINRA/NYSE registration issues for principals and representatives and completing and filing of Forms U-4, U-5 and BD.
Professional Experience NASD/FINRA (1984-1997)
National Association of Securities Dealers, Inc. (“NASD”) – Office of General Counsel (“OGC”) Associate General Counsel (1997-1992); Assistant General Counsel (1992-1990); Senior Attorney (1990-1987); Attorney (1987-1984).
Managed and coordinated OGC’s handling of statutory disqualification matters and requests for exemptions from the Free-Riding and Withholding Interpretation. Served as OGC liaison with the Membership, Statutory Disqualification, Free-Riding and Withholding Committees of the NASD’s Board of Governors and with the NASD/NASAA Central Registration Depository (“CRD”) Steering Committee. Responsible for working with NASD Membership Department on issues involving Forms U-4, U-5 and BD, member name disputes, NASD Pubic Disclosure Program Reporting requirements, mass transfer and successor broker/dealer applications and CRD operational issues. Liaison with NASD committees that recommended revisions to Forms U-4, U-5 and BD. Provided written interpretative advice to broker-dealers, attorneys and other interested persons on a wide range of NASD rules.
Related Securities Experience
Intern and Law Clerk, Maryland Division of Securities. (1983-1984)
Intern, Securities and Exchange Commission – Division of Market Regulation. (1983)
Registered Representative – Alex Brown & Sons. (1976-1981)
Bar Admissions and Other Memberships
Mr. Landauer is admitted to practice in the District of Columbia and Maryland, as well as before the federal U.S. Court of Appeals for the District of Columbia Circuit.
American Bar Association, 1985 to present.
Maryland State Bar Association, 1985 to present.
University of Baltimore School of Law, J.D., 1984
University of Virginia, Colgate Darden Graduate School of Business Administration, M.B.A., 1976
University of Virginia, B.A., 1973
Publications and Other Professional Activities
Contributing Author: The Pickard Washington Report (published quarterly).
Faculty: American Law Institute – American Bar Association – Investment Adviser Regulation (1996, 1997).
Expert Witness Testimony
Lombard Securities, Inc. v. Nationsbank, N.A., Case No. 96290049, Circuit Court For Baltimore City.
James L. Fulton v. Wheat First Securities, Inc., et al., Civil Action No. 96-1654, United States District Court Western District of Pennsylvania.
Robert Escobio, Claudio Salazar and Christopher Sweeney v. American International Group and Smith Barney, Inc., Case No. 95-304-CIV-GOLD, United States District Court Southern District of Florida Miami Division.