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Maurine Bartlett is a member of the Financial Services Group in the Charlotte office of Cadwalader, Wickersham & Taft LLP, specializing in securities and derivatives regulatory issues. She provides ongoing regulatory guidance to major broker-dealers and financial institutions, securities and commodities derivatives dealers, hedge funds and investment advisers, has experience drafting policies and procedures to facilitate compliance with applicable regulatory requirements and assists with transaction documentation and securities offerings, particularly asset-backed securitizations and CLOs. She addresses issues arising under all of the federal securities laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940, as well as under FINRA and MSRB rules. As part of her practice, Maurine has assisted clients in connection with various NYSE, FINRA and SEC enforcement proceedings, internal compliance reviews and applications to the Federal Reserve Board. She also has provided expert witness services in connection with broker-dealer arbitrations involving the margin rules and provided assistance with respect to the formation of SEC-registered broker-dealers and investment advisers.
Maurine has given compliance presentations for a number of broker-dealers and has participated in numerous SIFMA, BMA, and other panels. She is ranked as a leading lawyer in the 2012, 2011, 2010, and 2009 editions of Chambers USA: America's Leading Lawyers for Business wherein she is praised as “a key player in the broker-dealer team, and is equally adept at advising on compliance and assisting with enforcement actions or arbitrations.” Maurine also has been recommended by Legal 500 and was part of the team that was named 2020 Regulatory Team of the Year by IFLR Americas.
Maurine has been identified as one of the top 1,000 banking industry professionals in an American Banker-Bond Buyer reference book. She has co-authored a chapter on asset-backed securities for The Handbook of Asset-Backed Securities, as well as a chapter of the Regulation of the Commodities Futures and Options Markets treatise, and is the author of a chapter on the Glass-Steagall Act and Regulation D in The Securitization of Financial Assets.
A magna cum laude graduate of Georgetown University Law Center, Maurine was an Editor of the Georgetown Law Journal and served as Co-Chairman of The Barristers' Council. She earned her bachelor's degree, with high distinction, at the University of Michigan, where she was a member of Phi Beta Kappa.
Prior to law school, Maurine worked as a legislative assistant to Congressman Philip Ruppe (R-Mich).
She is admitted to practice in the State of New York. Maurine was a Cadwalader partner for many years and is currently a senior counsel.
