Frederic T. Spindel

Biography

Fred Spindel is Senior Counsel of BuckleySandler LLP. He has over 30 years of private practice experience in the areas of corporate and securities transactions and regulation, and serves as the firm's General Counsel.

Mr. Spindel counsels financial services companies and other business entities across a broad spectrum of matters, with particular focus on mergers, asset and stock acquisitions and restructurings, as well as private equity, venture capital and other public and private financings. He also advises on corporate governance and shareholder relations.

Another principal component of Mr. Spindel's practice involves representation of investment banks, asset managers, securities brokerage firms and hedge funds. In addition to assisting in development of investment products, he provides advice on securities regulatory compliance issues, and has acted as counsel in SEC, FINRA and exchange investigative and enforcement proceedings, as well as in private court litigation and arbitrations concerning financial fraud, manipulation, insider trading and other violations of securities and commodities laws.

Mr. Spindel has served as an adjunct professor at Georgetown University Law Center where he has taught courses on corporate and securities practice. He has also served as a legal advisor to securities commissions and stock exchanges in various developing and emerging countries on reforming laws and regulations governing the financial sector and capital markets. Mr. Spindel is a member of the Corporate Governance and the Venture Capital and Private Equity Committees of the American Bar Association.

Before joining the firm as a partner, Mr. Spindel was a partner in the Washington offices of several major national law firms. Prior to entering private practice, he served as an Assistant General Counsel of the Securities & Exchange Commission and thereafter as Deputy General Counsel to the Commodity Futures Trading Commission where he was responsible for major regulatory initiatives and oversaw the agency's litigation program.

Mr. Spindel received a J.D. with honors from the University of Texas School of Law (Order of the Coif; Associate Editor, Texas Law Review), and an A.B. from Cornell University (John McMullen Regional Scholar). Mr. Spindel saw military service as a Captain in the United States Army and was certified by Judge Advocate General as counsel for General and Special Courts Martial.

Significant Representations

• CFTC Investigation of CFO of Cattle-Raising Business

  Represented the CFO of cattle-raising business in CFTC investigation involving allegation of manipulation of the cattle futures market.

• CFTC Investigation of Commodities Brokerage Firm

  Represented a commodities brokerage firm in CFTC investigation involving improper sales practices and manipulation of potato futures market.

• Loan Loss Reserves Investigation

  Represented several major banks in SEC investigations relating to loan loss reserves.

• NASD Delisting Proceeding

  Represented a technology company in NASD delisting proceeding.

• NASD Insider Trading Inquiry

  Represented a NASDAQ/NSM traded communications company in NASD inquiry involving insider trading and corporate disclosures.

• NYSE Investigation Involving Insider Trading

  Represented registered representatives of national brokerage firm in New York Stock Exchange investigation and disciplinary proceeding involving insider trading.

• SEC Investigation Involving False Periodic Reports

  Represented a Nevada gaming establishment in SEC investigation and subsequent SEC enforcement action in federal court involving false periodic reports.

• SEC Investigation Involving Financial Fraud Allegations

  Represented a senior official of NYSE-traded national telecommunications company in SEC and U.S. Attorney investigations involving financial fraud allegations.

• SEC Investigation of Broker-Dealer Affiliate

  Represented a Broker-dealer affiliate of insurance company in SEC investigation and administrative proceeding involving “selling away” charges.

• SEC Investigation of CFO of Surety Bond Company

  Represented the CFO of NASDAQ-traded surety bond company in SEC investigation and administrative proceeding involving financial fraud charges.

• SEC Investigation of Chief Compliance Officer of Broker-Dealer Affiliate

  Represented CCO of broker-dealer affiliate of insurance company in SEC investigation and subsequent administrative proceeding involving failure to supervise.

• SEC Investigation of Director of Health Care Company

  Represented a Director of NASDAQ-traded managed health care company in SEC investigation involving false financial reports and misappropriation.

• SEC Investigation of Executives of Communications Company

  Represented the CEO and COO of NASDAQ/NSM traded communications company in SEC insider trading investigation.

• SEC Investigation of Executives of Pharmaceutical Company

  Represented the President and director of NASDAQ-traded pharmaceutical company in SEC investigation involving failure to file periodic reports and securities fraud.

• SEC Investigation of Insider Trading Activity

  Represented the former university athletic coach and energy-related businessmen in SEC injunctive and disgorgement action involving insider trading relating to merger of two oil companies.

• SEC Investigation of Newspaper Conglomerate

  Represented a newspaper conglomerate in SEC investigation involving allegations of securities fraud and filing of false ownership reports in connection with takeover of publicly-traded gold mining com... MORE

• SEC Investigation of Regional Brokerage Firm and Asset Manager

  Represented a regional brokerage firm and asset manager in SEC investigations and FINRA examinations involving sales practices, offering disclosures, markups, and hedge fund operations.

• SEC Investigation of Telecommunications Company Executive

  Represented an officer of a publicly-traded telecom company in a SEC financial fraud investigation.