Charles Scarlett
Boynton Beach
Summary
Highly skilled legal professional with extensive experience in litigation and management of securities attorneys and legal staff. Known for strong focus on team collaboration and achieving results, adapting seamlessly to changing needs and priorities. extensive analysis and case strategy, combined with excellent communication and problem-solving abilities. Reliable and results-driven, with proven track record of success in high-pressure environments.
Overview
35
35
years of professional experience
Work History
Attorney
Scarlett, Gucciardo and Hirsch, PA
01.2002 - Current
- Represented in excess of 1000 investors nationwide with losses of more than 700 million dollars involving ponzi and pump and dump schemes, unsuitability, churning, and unauthorized trading.
- Developed strong working relationships with opposing counsel, fostering a collaborative environment for dispute resolution.
- Participated in mediation sessions leading to cost-effective resolutions without resorting to lengthy trial procedures.
- Represented broker dealers including Morgan Stanley and Raymond James in arbitration proceedings
- Managed complex caseloads effectively by prioritizing tasks and keeping organized records of case materials.
- Negotiated settlements of disputes and litigation.
General Counsel
JW Genesis Companies
01.1990 - 01.2002
- Served as Chief Legal Officer of the JW Genesis Companies including six (6) broker dealers and over six hundred (600) employees
- Supervised and coordinated with in-house attorneys and outside counsel in the defense of numerous arbitration proceedings brought against the Companies and its brokers
- Orchestrated and handled various legal issues by remaining highly organized and prioritizing.
- Successfully resolved numerous disputes through skillful mediation and prevented costly litigation
- Managed litigation strategy to successfully resolve high-stakes disputes with minimal financial impact.
- Advised Senior Management on various legal and regulatory issues effecting the business activities of the Companies
- Conducted annual seminars on pertinent legal and regulatory issues for over five hundred (500) brokers
- Obtained Series 4,7, 14 ,24, and 63 licenses
Member, NASD District Business Conduct Committee
NASD
01.1995 - 12.1997
- Served as Hearing Officer for NASD District Business Conduct Committee (District 7-Atlanta) and reviewed and adjudicated disciplinary cases related to securities industry violations involving Federal Securities laws and NASD rules and regulation
- Attended quarterly meetings involving various regulatory issues before the Committee
Education
MBA - Finance
Florida State University
Tallahassee, FL01-1982
Associate of Science - Finance
Miami University
Oxford, OH06.1977
Skills
- Litigation Management
- Investigation skills
- Establishing effective relationships
- Securities regulation
- Organizational skills
- Effective communication
- Decision-making
- Relationship building
Timeline
Attorney
Scarlett, Gucciardo and Hirsch, PA
01.2002 - Current
Member, NASD District Business Conduct Committee
NASD
01.1995 - 12.1997
General Counsel
JW Genesis Companies
01.1990 - 01.2002
MBA - Finance
Florida State University
Associate of Science - Finance
Miami University
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