- (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 agencies.
Mr. Shaw advises start-up to middle-market firms on state/federal regulations, industry best practices on risk avoidance, compliance, responding to regulatory inquiries, preparing for regulatory examinations, and defending firms in arbitration and enforcement proceedings.
He also advises business owners in general representation matters, including counseling clients through all stages of the business cycle, including formation, employment, mergers and acquisitions, and succession planning. Mr. Shaw is admitted to practice in Maryland, the District of Columbia, and the U.S. District Court for the District of Maryland.
Mr. Shaw holds leadership positions on the CFA Society Baltimore Board of Directors, and as the Board Advocacy Chair. He is also the Secretary/Treasurer of Business Networking International.
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 CFP Board, FINRA, and Monumental Life Insurance Company, where he gained experience 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
Articles & Presentations
- How Financial Advisors Can Avoid Compliance Failures: A Review of the SEC's 2018 Examination Priorities (July 26, 2018)
New GDPR Guidelines for Companies, Co-authored with Matthew J. Youssef, Esq.
Common Compliance Failures – FPA Maryland Fall Symposium, Columbia, MD (November 15, 2018)
Who is a Fiduciary? Why it Matters, and Tips for Compliance Risk Management, Co-authored with Brian Nally, Esq., Presented at The Eagle Conference, Philadelphia, PA (September 11, 2018)
Overview of Financial Services Regulatory Compliance, Enforcement Defense, and Arbitration Practice - Law Firm Alliance (LFA) Business Law Community (October 25, 2018)
How to Avoid Compliance Failures – NAPFA (April 4, 2018)
- Associated Italian American Charities (AIAC)
- Junior Achievement of Central Maryland
- District of Columbia
- The Catholic University of AmericaWashington, D.C.
- Marquette UniversityMilwaukee, WI
B.S., Economics, 1984
- Maryland State Bar Association
Committee on Corporation Law
Securities Law Committee
- District of Columbia Bar Association
Corporation, Finance and Securities Law Section
- CFA Society of Baltimore
Board of Directors, Board Advocacy Chair
- Business Networking International
- Association of Corporate Growth - Maryland
- NAPFA Study Group (Baltimore)
- SIFMA Compliance & Legal Society
- Exit Planning Exchange (XPX Maryland)