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SIFMA C&L Society St. Louis Regional Seminar
June 18, 2019
Oyster’s General Counsel Patrick M. Dennis will be attending the SIFMA C&L Society St. Louis Regional Seminar on June 18th.
Patrick M. Dennis has been involved in the securities industry for over 30 years. Previously, Patrick was a Senior Vice President and Assistant General Counsel to Wachovia Securities, LLC (now Wells Fargo Advisors), or its predecessors. Patrick moved to Wells Fargo in 1998, where he was in charge of all litigation and regulatory matters affecting the retail brokerage firm. He managed securities litigation and arbitration matters until 2003 when he moved into a Senior Regulatory Counsel position. In that capacity, he handled a number of high-profile regulatory matters for the firm including, mutual fund breakpoints, mutual fund market timing, inactive fee-based accounts and closed end funds. Patrick also served as Senior Regulatory Counsel to Wachovia’s Investment Advisory line of business.