David Whitcomb
Managing Director, Legal Department at Charles Schwab
Based in Chicago, United States
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Seniority
Director
Department
Legal
Location
Chicago
Industry
Financial Services
Company size
34K
Contact information
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d•••••••@schwab.com
Phone
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Background
About David Whitcomb
Proven success bolstering regulatory investigations and litigation, and assessing/balancing risk and liability. Concentration in financial services, fixed-income trading, and regulatory oversight with deep knowledge of financial structures and regulatory law. Emphasis on trading and broker-dealer/ FCM issues. Approved FINRA Dispute Resolution and NFA Arbitrator. Known for deriving creative case strategies and negotiation to support legal strategy. Trusted collaborator with strong leadership, administrative, and communication competencies as well as the ability to proceed amid ambiguity. Other experience includes VP, Compliance Department, Charles Schwab & Co, Inc. and Attorney/Branch Chief, U.S. Securities and Exchange Commission, Division of Enforcement. SIGNATURE STRENGTHS Legal Strategy & Management | Crisis Management | Derivatives & Cryptocurrency | Business Litigation Fixed-Income Trading & Sales | Contractual Negotiation | Regulatory Counseling | Risk Management
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