- (410) 783-6382 direct
- (410) 783-6430 fax
Mr. Shaw is a Partner in the Corporate Department of Niles, Barton & Wilmer, LLP. He has over 25 years of experience as an in-house corporate and regulatory attorney in the securities and insurance industries. He serves the legal, compliance and enforcement defense needs of registered investment advisers, broker-dealers, hedge funds, private equity firms, and insurance companies.
Mr. Shaw also advises start-up to middle-market firms on state/federal regulations, industry best practices on risk avoidance and compliance, responds to regulatory inquiries, prepares for regulatory examinations, and defends firms in arbitration and enforcement proceedings.
He also advises business owners in general representation matters, including counseling clients on business formation, mergers and acquisitions, and employment matters. Mr. Shaw is admitted to practice in Maryland and the District of Columbia.
He is an active member of the CFA Society of Baltimore, Society of Corporate Counsel and Ethics, SIFMA Compliance & Legal Society, NAPFA Baltimore Study Group, as well as the Maryland State Bar Association and the D.C. Bar.
Prior to joining Niles Barton, he founded The Shaw Law Group, LLC, a firm that provides compliance and risk management advice, and regulatory enforcement counsel. Previously, Mr. Shaw was in-house counsel for FINRA, Monumental Life Insurance Company, and CFP Board where he gained expertise in securities and insurance regulations, litigation, and corporate governance.
Certifications and Designations
- Certified Regulatory Compliance Professional (CRCP)
- Chartered Financial Consultant (ChFC)
- Chartered Life Underwriter (CLU)
Honors & Awards
- FINRA (formerly NASD) President’s Award, 2006
- How Financial Advisors Can Avoid Compliance Failures: A Review of SEC 2018 Examination Priorities
- New GDPR Guidelines for Companies
- District of Columbia
- The Catholic University of AmericaWashington, D.C.
- Marquette UniversityMilwaukee, WI
B.S., Economics, 1984
- Maryland State Bar Association
Securities Law Committee
- District of Columbia Bar Association
- CFA Society of Baltimore
Board of Directors
- NAPFA Baltimore Study Group
- SIFMA Compliance & Legal Society
- Society of Corporate Counsel and Ethics
- Association of Corporate Growth - Maryland