New York, NY April 27, 2004 – The international law firm of Chadbourne & Parke LLP announced today that corporate attorney Dennis R. Dumas, 45, has joined the Firm as counsel, resident in New York. Mr. Dumas was most recently managing counsel heading the global securities and capital markets practice group in The Bank of New York’s legal division.
“We are pleased to welcome Dennis to Chadbourne,” said Charles K. O’Neill, the Firm’s Managing Partner. “His considerable capital markets and securities transactional and regulatory experience, particularly on the bank and broker-dealer sides of the table, will be of great value both to the Firm and our clients.”
Mr. Dumas comes to Chadbourne with nearly 20 years of securities industry and corporate experience. At The Bank of New York, Mr. Dumas represented the bank and its broker-dealer subsidiaries and affiliates on a wide range of matters, including securities, capital markets, contracts, corporate governance, rules, regulations, policies, procedures, regulatory developments, inquiries and other matters. He also provided advice on bank regulatory matters related to broker-dealer affiliates, and advised the marketing, compliance, internal audit and global risk management departments. In addition, he managed business-side dispute resolution with broker-dealer clients and third parties.
Previously, Mr. Dumas was senior counsel at The Bank of New York. In that capacity, he structured BNY Capital Markets, Inc., the first major broker-dealer affiliated with The Bank of New York, as a start-up underwriting and dealing broker-dealer. Mr. Dumas also served as Chief Legal Officer of BNY Capital Markets, Inc.
Mr. Dumas was appointed Receiver by the Federal District Court (Southern District of New York), upon the recommendation of the Securities and Exchange Commission (SEC) Division of Enforcement, on three separate occasions. As Receiver, he administered and distributed millions of dollars of Receivership funds to qualified claimants allegedly damaged by wrongdoing specified in SEC lawsuits that recovered those funds both during and before his tenure at The Bank of New York.
Prior to joining The Bank of New York, Mr. Dumas was a senior associate at Winthrop, Stimson, Putnam & Roberts in the business and securities law and complex litigation practices. At Winthrop, he advised broker-dealers, public companies and other organizations and individuals on securities, corporate and other applicable laws. Among other representative matters, Mr. Dumas assisted Japan’s Ministry of Finance in drafting that country’s securities laws, and acted as primary outside counsel to broker-dealer First Albany Corporation. He also represented banks, broker-dealers and others before multiple government agencies in securities and complex litigation.
Mr. Dumas’s previous experience also includes serving as an attorney-advisor in the SEC’s Division of Enforcement, where he investigated federal securities law violations by issuers, broker-dealers, auditors and others. At the SEC, he focused on trading, market manipulation, accounting, auditing and financial fraud cases. During his time at the SEC, Mr. Dumas also served as a Special Assistant U.S. Attorney.
Mr. Dumas received his B.S. from Duke University, Trinity College, and his J.D. from the Duke University School of Law.
About Chadbourne & Parke LLP
Chadbourne & Parke LLP, an international law firm headquartered in New York City, provides a full range of legal services, including mergers and acquisitions, securities, project finance, corporate finance, energy, telecommunications, commercial and products liability litigation, securities litigation and regulatory enforcement, white collar defense, intellectual property, antitrust, domestic and international tax, reinsurance and insurance, environmental, real estate, bankruptcy and financial restructuring, employment law and ERISA, trusts and estates and government contract matters. The Firm has offices in New York, Washington, D.C., Los Angeles, Houston, Moscow, Kyiv, Warsaw (through a Polish partnership), Beijing and a multinational partnership, Chadbourne & Parke, in London. For additional information, visit chadbourne.com.