Gary Klein Email & Phone Number
Vice President @ Fifth Third Bank
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Gary Klein Location
- Cincinnati, OH, US
Gary Klein Work
- Vice President @ (November 2016 - Present)
- Chief Regulatory Officer and Compliance @ (January 2014 - January 2016)
- General Counsel @ NEXT Financial Holdings Company, Inc. (January 2012 - January 2014)
- Deputy General Counsel @ (January 2010 - January 2012)
- Branch Chief-Investment Advisor Examinations @ (January 2008 - January 2010)
- Partner @ Klein & Sallah LLC (January 2004 - January 2008)
- Branch Chief, Division of Enforcement @ (January 1999 - January 2004)
- Deputy General Counsel @ D.H. Blair, Inc. (January 1997 - January 1999)
Gary Klein Education
- University of Miami School of Law 1983-1986
- University at Albany 1979-1983
Gary Klein Skills
- Securities Regulation
- Expert Witness
- Securities Litigation
- Securities Arbitration
- Securities Fraud
- Securities Law
- Investment Advisory
- Investment Advisor Consultation
- FINRA
- Securities
- Compliance
- Employment Litigation
- Internal Investigations
- Arbitration
- Litigation
- Hedge Funds
- Licensing
- White Collar Criminal Defense
- Civil Litigation
- Financial Services
- Mutual Funds
- Financial Regulation
- Investments
- SEC
- Commercial Litigation
- FCPA
- AML
- Insurance
- Corporate Law
- Finance
- Class Actions
- Investment Advisers Act
- Appeals
- Due Diligence
- Privacy Law
- Investment Company Act
- Mediation
- Legal Compliance
- Bankruptcy
- Alternative Dispute Resolution
- Legal Writing
- Litigation Management
- Anti Money Laundering
- Public Speaking
- Project Management
- Marketing
- u.s. Securities and Exchange Commission Sec
- Microsoft Excel
- Management
- Business Development
- u.s. Securities and Exchange Commission
Gary Klein Summary
- Gary Klein, based in Cincinnati, OH, US, is currently a Vice President at Fifth Third Bank. Gary Klein brings experience from previous roles at Raymond James, NEXT Financial Holdings Company, Inc., LPL Financial and U.S. Securities and Exchange Commission. Gary Klein holds a 1983 - 1986 University of Miami School of Law. With a robust skill set that includes Securities Regulation, Expert Witness, Securities Litigation, Securities Arbitration, Securities Fraud and more. Gary Klein has 2 emails and 3 mobile phone numbers on RocketReach.
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