Amy B. Bard


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Amy B. Bard
Amy B. Bard

“I worked in compliance for a large, retail broker-dealer.  As a result, I understand first-hand the day-to-day challenges my financial services clients face, as well as how to navigate beyond the often competing demands and divergent needs of the legal, compliance and business departments.”

Amy Bard is a Principal of the firm’s Securities Litigation and Regulation practice group.  Prior to joining Bressler, she was a solo practitioner representing national and regional broker-dealers and registered representatives in securities enforcement and litigation matters. Amy has represented broker-dealers before FINRA and its predecessor agencies, NYSE, NASD and PHLX, as well as individual representatives in employment and industry related matters. 

Amy is also a member of Bressler's Senior and Vulnerable Investor Group. The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors.

Amy served as in-house counsel to UBS Financial Services in both a litigation and compliance capacity.  Prior to joining UBS, Amy was counsel for both the Berkowitz, Lichtstein, Kuritsky, Giasullo & Gross and the Fried Frank Harris Shriver & Jacobson firms, where she conducted all aspects of a diverse commercial litigation practice and counseled a broad range of corporate clients.  At the beginning of her career, Amy also served as Assistant District Attorney in Manhattan, where she prosecuted federal drug enforcement agency investigations of major narcotic violators.  She successfully tried the first wiretap investigation case in the Special Investigations Bureau, and served as lead prosecutor on major narcotics investigations in Manhattan.

Amy is particularly valued by her clients for her ability to provide comprehensive legal and compliance related counsel in conjunction with litigation advice.  She is known for working with her clients to proactively mitigate problems and situations that might snowball into real liability.  She consistently demonstrates the requisite skills needed to deal with current obstacles, but with an eye toward anticipating additional challenges that may arise in the future. 

Amy is also sought out for her hands-on trial experience.  In an era where fewer cases are tried, Amy’s ability to litigate and try cases in court and in arbitration is honed and acute.  She understands what it takes to successfully investigate and assess facts, evaluate risks and plan strategies both quickly and effectively.

In addition to her practice at Bressler, Amy serves as volunteer trial counsel to Partners for Women and Justice, an organization that provides pro bono services to women who are victims of domestic violence and are seeking permanent restraining orders from the courts.

Amy represents financial industry clients, including broker dealers, investment advisors and clearing firms in securities related litigation and regulatory proceedings.  She counsels retail clients on regional and branch compliance policies and procedures.  Her experience includes:

  • Representative litigations involving allegations of financial product failure, fraud, misrepresentation, conflicts of interest and breach of fiduciary duty
  • Representing firms and individual advisors in regulatory enforcement investigations and inquiries involving sales practice issues, reporting obligations and licensing
  • Working with senior management to develop and document compliance policies and procedures and evaluate and assist proactively in responding to suspected compliance violations
  • Mediating and arbitrating 35+ cases in 3 ½ years to a successful and cost effective resolution; attained pre arbitration dismissal of $2 million options law suit