MICHAEL J.

ALAMO
700 Sackett Street, Apt. 1R, Brooklyn, NY 11217
ma5ceb64@westpost.net / (917)-327-3788
PROFILE
Reliable legal and compliance attorney with experience as in-house
counsel to business groups within a top tier investment bank.
Intelligent solution provider with demonstrated ability to understand
the internal processes and systems in a large financial services firm.
Amiable and self motivated with the flexibility to work well within a
group or independently.
LICENSE: Admitted to the New York State Bar.
EXPERIENCE
AtoZ Capital LLC, New York, NY, January 2009 - Present
o Created a Limited Liability Holding company for investment purposes.
Purchased a Restaurant franchise in Brooklyn and real estate in
Orlando Fl.
o Overseeing operations including: accounting, auditing, inventory
control, order fulfillment, compliance with pertinent Federal, State,
City and Franchise Corporate parent regulations.
o Hired and supervised a staff of up to 7; responsible for performance
evaluations, disciplinary actions, internal investigations, payroll,
scheduling etc.
Bear Stearns & Co. Inc., New York, NY, August 2003 - December 2008
Legal Counsel, Associate Director
o Counsel to the Equity Research Department: improved departmental
legal compliance while under close regulatory examination by
performing legal research, drafting and editing legal memoranda and
departmental policies, consulting with outside counsel and
collaborating with internal Legal and Compliance staff and Department
Management. Reviewed regular and pre-deal research as well as other
department work product prior to public release when escalated by
Supervisory Analysts and the Control Group. Practiced in Securities
laws including the '33 Act, SRO Rules, Reg. FD, international
regulatory requirements, and internal corporate policies. Monitored
changes in prevailing law to ensure compliance. Reviewed corporate
procedures and implemented changes when necessary.
o Provided counsel pertaining to litigation settlements: acted as an
internal expert on the Research Analyst Settlement. Responsible for
interpretation of the Settlement, related policies, compliance, the
Independent Monitor's investigation, regulatory inquiries, Internal
Audit inquiries, and related issues for the Capital Markets and Sales
Departments. Performed Chaperoning function, including organizing and
maintaining necessary records. Supervised and trained compliance
personnel for Chaperoning. Delivered Compliance training for newly
hired Research Analysts.
o Control Group member: following the departure of 75% of the main
office staff, leveraged monitored communication function to increase
productivity while covering two compliance areas. Functions included
reviewing research, tracking deal activity, wall crossings and other
non-public information, providing guidance for Research and
Supervisory Analysts, drafting and editing surveillance guidelines,
conducting surveillance for suspicious activity and facilitating the
transition of new team members.
o Contract attorney in Litigation: of six contract attorneys was the
first to be hired as a permanent employee by excelling at performing
document review, conducting legal research, training new attorneys,
organizing and tracking team reviews.
o Counsel to Primary Insight Group (an expert network service
provider): developed a compliance regime for a new business unit by
drafting and editing policies, marketing material, expert
solicitations and by establishing a response system for company
complaints.
Contract Attorney, New York, NY, December 2002 - July 2003

o Litigation Attorney for Hughes Hubbard and Reed LLP. Reviewed

documents for privilege, confidentiality and substantive content.
Improved review procedures.
o Litigation Attorney for Boies, Schiller & Flexner LLP, on securities
litigation. Performed document review.
Consultant, Washington, DC, June 2002 - September 2002
o Counsel to Elizabeth Houde, Executive Director of the Crafts Center.
Drafted a USAID grant application. Researched legal issues concerning
the requirements for doing business in Cuba. Areas of law included:
the Cuban Democracy Act, the Libertad Act, the Office of Foreign Asset
Control regulations, the Freedom of Information Act, USAID procurement
requirements and Cuban law. Assisted with the financial planning and
estimates for the program.
Free-Lance Researcher, Washington, DC, June 2001 - May 2002
o Researched and began writing a business plan for an OTC Derivatives
Clearing House. Researched the CMA for the requirements to establish a
Derivatives Clearing House. Conducted market research. Was forced to
abandon venture due to proprietary nature of pricing information and
the collapse of the venture capital market. Contract researcher in the
Library of Congress: retrieving transcripts of Congressional hearings,
and conducting general research.
Commodity Futures Trading Commission, Washington, DC, January 2000 -
May 2001
Judicial Clerkship
o Served as law clerk to CFTC Administrative Law Judge George Painter.
Researched legal issues concerning the Commodities Exchange Act and
pertinent Federal statutes and regulations. Reviewed motions and
drafted rulings.
o Authored decisions for enforcement actions and the CFTC reparations
program. Created innovative legal rationale for expanding regulatory
authority in a case of first impression that was upheld by higher
authorities. Attended courses on futures and derivatives trading.
Conducted settlement negotiations.
PaineWebber Inc., New York, NY, Summer 1998
o Intern with Capital Markets Compliance, Legal Department. Researched
Regulation S and recent amendments, drafted bulletin for convertible
bond trading desk. Researched state licensing requirements for
mortgage lenders, drafted memoranda. Conducted OTC surveillance
including: end of day trading review, research confidentiality review,
and audio surveillance.
Mullenholz, Brimsek & Belair, Washington, DC, Summer 1997
o Law Clerk. Researched state regulatory and criminal legislation
relating to tobacco. Compiled state code binders of pertinent
regulations. Drafted client memoranda
EDUCATION

George Washington University Law School, Washington, DC

J.D. awarded May 1999
Amherst College, Amherst, MA
Bachelor of Arts, Cum Laude, Political Science, May 1992