SHERYL ANNE ZUCKERMAN

66 West 88th Street, Apt. 4A

New York, New York 10024
(917) 751-6190
sz6a75d6@westpost.net
PROFESSIONAL EXPERIENCE
ATTORNEY CONSULTANT a"MORGAN STANLEY SMITH BARNEY EARLY DISPUTE RESOLUTION GROUP
March 2008-Present
Engaged to investigate and respond to pre-litigation sales practice client compl
aints and associated regulatory inquiries; negotiate and facilitate settlements
with clients as necessary.
CONTRACT ATTORNEY September 2006-March 2008
Engaged to participate in complex litigation matters for top tier law firms in N
ew York City.
GUSRAE, KAPLAN, BRUNO & NUSBAUM PLLC February 2002-September 2006
Represented clients in: (a) litigation and arbitration proceedings, and in enfo
rcement proceedings initiated by SROs and government agencies, including appella
te practice; (b) formation of broker-dealers and receipt of required SRO approva
ls; and (c) matters involving disqualified statutory persons seeking modificatio
ns of SRO/SEC sanction orders.
SINGER FRUMENTO LLP 1999-2002 (Firm Dissolved)
Represented clients in: (a) litigation and arbitration proceedings, and enforce
ment proceedings initiated by SROas and government agencies, including appellate
practice; and (b) no-action / interpretative letter process involving interpret
ation of rules and regulations (e.g., adual registrationa and ablack boxa tradin
g).
PRUDENTIAL INSURANCE COMPANY OF AMERICA
PRUDENTIAL SECURITIES, INC. 1993-1999
Supervising counsel in landmark class action settlements of federal fraud action
s, involving limited partnership securities and variable insurance products aggr
egating multi-billion dollar claims. Devised and implemented regulatory procedu
res for the settlement process. Supervised /participated in arbitration proceed
ings that required customized arbitration processes that were unprecedented in t
he industry. Counseled unique marketing and regulatory issues involving settlem
ent of securities / insurance products claims and sales practice issues.
MARVIN NEIMAN, PC 1991-1993 (Firm Dissolved)
Banking and business litigation practice including appellate practice.
GANZ, HOLLINGER & TOWE, PC 1985-1991
Wide-ranging litigation practice. For example: (a) successfully litigated firs
t trial just weeks after admission; and (b) obtained favorable 2nd Circuit opini
on (on long-arm jurisdiction over foreign corporations).
REGULATORY EXPERIENCE
Engaged in regulatory inquiries, enforcement proceedings, administrative and cou
rt appeals, and arbitrations involving SRO rules and regulations as well as stat
e and federal securities laws including:
Fraud, market manipulation, churning, unauthorized trading, false statements mad
e on member registration and associated person filings, false statements on SEC
filings, sales of unregistered securities, excessive markups/downs, best executi
on and inter-positioning, control person liability, failure to supervise, unregi
stered broker-dealer, outside business activities, failure to cooperate with reg
ulatory investigations, perjury, misappropriation of assets, pre-arranged trades
, front-running, U-4/U-5 defamation.
Engaged in member registration and business expansion requests and requests for
associated persons to be affiliated with a member firm, including persons and fi
rms subject to statutory disqualification/debarment.
PUBLISHED/REPORTED MATTERS
Co-author of articles on the Internet publication, Securities Industry Commentat
or, the series Looking Out for U, which addresses a wide range of legal and regu
latory issues affecting registered representatives and member firms. Cited in i
ndustry publications such as Registered Representative magazine. http://www.rrb
dlaw.com/2001/Q2/4U/010501INTRO. htm
Portions of legal arguments included in memoranda filed on appeal to Federal Cou
rt of Appeals for the Second Circuit were published in the New York Law Journal
and Metropolitan Lawyers.
Co-author of aOuter Limitsa at the NASD: We Control the Vertical, Horizontal, T
ime and Price!a (Publication and discussion of an appeal from an NASD disciplina
ry matter concerning violation of Rule 8210 (failure to cooperate).
http:/www.financialindustryassociation.com/pdf/news/20010125.pdf
Author of a Request for Interpretive Relief from the NASD concerning Rule 3030 (
dual registration)
http://www.nasd.com/RulesRegulation/PublicationsGuidance/InterpretiveLetters/Con
ductRules/NASDW 002700
EDUCATION
Hofstra University School of Law a" J.D. (Moot Court Honors) (1985)
State University of New York, Binghamton a" B.A. in Psychology; Fine Arts Minor
(1982)
ADMISSIONS
Admitted to practice in New York courts and New York Federal courts.