Bressler, Amery & Ross, P.C. welcomes back attorney Karl Marquardtwho rejoins as a Principal of the firm. Following a judicial clerkship, Mr. Marquardt started his career in private practice at Bressler as an associate. He returns bringing significant experience in the financial services industry managing risk, regulatory and litigation issues.
Karl Marquardt is a Principal of the firm's securities regulatory defense practice group. Admitted in both New York and New Jersey, Mr. Marquardt will be resident in the firm’s New York City office in lower Manhattan.
Prior to joining Bressler, Mr. Marquardt worked with Morgan Stanley Wealth Management, where he served in several different in-house roles. Most recently, he was with the National Business Risk unit where he oversaw the company’s Utah-based Central Review Unit and the Chennai, India-based email and electronic communications review team. He was also a member of the firm’s team responsible for developing the account review alerts used to supervise retail brokerage accounts.
Earlier in his career with Morgan Stanley, Mr. Marquardt gained experience in various litigation roles. In the firm’s Wealth Management Client Litigation unit, he represented the firm and its registered representatives in retail-based regulatory and client litigation matters. He also handled matters in the firm’s U.S. Litigation unit, where he represented the firm in regulatory matters before the SEC, FINRA, and various federal and state regulators.
Mr. Marquardt was also formerly an in-house attorney at Citigroup, serving first as litigation manager for the bank’s broker-dealer, and then as a member of the firm’s Regulatory Enforcement Group. Prior to joining Bressler, Mr. Marquardt clerked for the Hon. Jonathan N. Harris, J.S.C. in New Jersey.