Charles L. Bennett is Of Counsel in the Firm's Transactional Practice Group. He represents broker-dealers and investment advisers primarily in the areas of broker dealer legal and compliance matters and corporate and securities law. He specializes in advising clients on all aspects of SEC and FINRA rules and regulations related to sales practices and operations, including those rules related to the filing and review of public and private offerings before FINRA's Advertising and Corporate Financing Departments; as well providing advice on state blue sky laws and filings.
He also serves as an advisor and consultant providing significant insights to clients on matters of corporate governance, institutional and retail compliance, risk management, due diligence investigations, reasonable basis inquiries, investment banking, underwriting syndicate practices, real estate securities underwritings, and retail brokerage sales.
Charles has been an Adjunct Professor at New York University since 2006, focusing his teachings on business and legal considerations related to creating equity investment opportunities in real estate and real estate related securities, including partnerships, TICs, LLCs and REITs.
- University of South Florida, B.A. 1979
- University of San Francisco School of Law, J.D. 1983
- Georgetown University Law School, L.L.M, 1994
- 1984, California
- 1990, District of Columbia
- California Bar Association
- District of Columbia Bar Association
- American Bar Association