Mr. Ericson works with clients in a variety of industries, including financial services, real estate, management consulting, health care and technology.
Mr. Ericson has special expertise in representing broker-dealers, investment advisors and other financial professionals. He has defended broker-dealers and their employees in hundreds of arbitrations before FINRA and in SEC and FINRA regulatory matters. Mr. Ericson has handled cases involving equities, fixed income securities, mutual funds, managed accounts, variable annuities, limited partnerships and options. As a result of his experience, he has in-depth knowledge of retail operations, supervisory and compliance systems, the laws and regulations that govern the industry, and the products and services sold by the industry.
Mr. Ericson has been lead counsel in arbitration hearings for Citigroup Global Markets, Inc.; Deutsche Bank Securities Inc.; HSBC Securities (USA) Inc.; Merrill Lynch, Pierce, Fenner & Smith: Oppenheimer & Co.; Prudential Securities, Inc.; Solomon Smith Barney; Shearson Lehman Brothers; UBS Financial Services Inc.; and Wedbush Morgan Securities. He also has represented Bear Stearns Securities Corporation; Fidelity Brokerage Securities; and J.P. Morgan Securities, among others.
Mr. Ericson has handled numerous appellate matters and has argued cases before the Ninth Circuit Court of Appeals and the California Courts of Appeal.
Stanford University, B.A., 1980
UCLA School of Law, J.D., 1984.
UCLA Anderson School of Management, Executive Program, 2010
Publications and Speaking
D.C. Circuit Vacates Fee-Based Brokerage Rule, Journal of Investment Compliance (June 2007).
Panelist, The Prospectus Defense (Defense Viewpoint) PIABA Conference.