Anthony Ain, of counsel to the Firm, is a corporate and securities lawyer who has represented small and large companies, investment managers, and broker-dealers. His experience includes all forms of corporate representation, including providing general legal and business advice to officers and boards, offering legal representation on a broad variety of securities matters, performing day-to-day legal work, and taking the lead legal role on major corporate transactions.
During his career, Mr. Ain has served as General Counsel to several companies, including RCM Capital Management, a San Francisco-based investment manager that served institutional and high net worth clients and managed several mutual funds. In that position, Mr. Ain played the key legal role in facilitating the acquisition of RCM by Dresdner Bank. Before joining RCM, Mr. Ain worked at the United States Securities and Exchange Commission, as Counsel to Commissioner Joseph A. Grundfest and then as a Senior Special Counsel in what was then the Division of Market Regulation (and is now the Division of Trading and Markets). Mr. Ain began his career as an associate at Fried, Frank, Harris, Shriver, and Jacobson in Washington, D.C., where he worked in the Securities Law Group.
Mr. Ain received his Bachelor’s degree from Cornell University and his J.D. from the University of Pennsylvania Law School. He is a co-author of The Law of Financial Services, a multi-volume treatise published by Prentice Hall Law and Business in 1988.