Shareholder, Bernstein Shur
Scot Draeger is a member of Bernstein Shur’s Business Law Practice Group and is the Practice Leader for its Securities and Financial Services Industry Group. Scot is a former Senior Legal Counsel to the U.S. Securities and Exchange Commission in Washington, D.C. His practice focuses on representing securities industry and capital markets participants in the full spectrum of regulatory, compliance, enforcement, and transactional matters, with an emphasis on counseling the investment management industry and financial services companies. Scot has experience providing guidance and advice on all aspects of the federal securities laws and SEC regulations, including in the context of Sarbanes-Oxley compliance, fiduciary activities, and SEC examination and enforcement matters. He also has experience in the development, implementation, and oversight of compliance programs. Scot has conducted independent internal investigations on behalf of public company boards and independent directors. Scot also represents diversified financial institutions in complex contract negotiations and global and domestic outsourcing deals in the securities and investment management industries. Scot’s transactional experience also includes counseling corporations through mergers, acquisitions, and divestitures of securities industry companies.
