Robert P. Howard Jr.
Partner
Bob represents financial services firms, public companies, and individuals in regulatory examinations, investigations, and litigation initiated by the Securities and Exchange Commission, FINRA, and other federal and state securities regulators. He also represents clients in civil litigation and arbitration involving the securities laws.
Bob counsels broker-dealers and investment advisors regarding compliance system design and review, regulatory registration, transactional disclosure, and customer privacy. He also advises a range of firms in the financial sector on compliance and regulatory risk management.
Practice Highlights
Enforcement defense
For over two decades, Bob has represented clients in investigations and actions by state and federal securities regulators.
Regulatory matters
Bob has extensive experience representing broker-dealers and investment advisors concerning compliance with state and federal regulations and responding to regulatory examination requests.
Compliance
Bob works closely with compliance officers and their staff to design and implement supervisory systems compliant with state and federal regulations.
Enforcement defense*
Enforcement defense*
Enforcement defense*
Enforcement defense*
Enforcement defense*
Admitted to Practice
- District of Columbia, 1997
- Virginia, 1996
- U.S. Supreme Court
- U.S. Court of Appeals, 4th Circuit
- U.S. Court of Appeals, D.C. Circuit
- U.S. District Court, District of Columbia
- U.S. District Court, Eastern District of Virginia
- U.S. District Court, Western District of Virginia
Education
- J.D., University of Virginia School of Law, 1996
- B.A., University of Pittsburgh, 1987
Memberships & Affiliations
District of Columbia Bar
Virginia Bar Association
SIFMA Compliance & Legal Society
Professional Recognition
- Selected to "Washington, D.C. Super Lawyers" in Securities, Thomson Reuters, 2016-2020
- Awarded "AV Preeminent Rating" by the Martindale-Hubbell Law Directory, 2011-present
- Named to "Capital Pro Bono Honor Roll" by the D.C. Court of Appeals and the D.C. Superior Court, 2023