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Mac Knox

Consultant

Mac is a securities litigation consultant for Eversheds Sutherland (US)'s Litigation practice group. 

Mac assists the firm's Securities Enforcement practice in defending investment advisers and broker-dealers in investigations, enforcement proceedings and litigation matters involving the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and state regulatory agencies.  Mac also provides advice on compliance and supervision issues.  

Mac previously worked as an examiner and supervisor for 12 years in the Atlanta District Office of the National Association of Securities Dealers (NASD), which later became part of FINRA.  Mac also served three years as Capital Markets Compliance Director for the Robinson-Humphrey Company and worked four years in various compliance roles with SunTrust Bank broker-dealers, including Deputy Director of Compliance for both SunTrust Capital Markets, Inc., and SunTrust Investment Services, Inc. 

In his roles as a Regulator and Compliance Officer, Mac has extensive experience dealing with regulatory examinations and disciplinary actions of all types; implementing complex policies, procedures and automated solutions for supervising securities sales practices (including anti-money laundering, business continuity, electronic communications and surveillance systems); managing all areas of compliance (including advertising/sales literature review, branch audit, registration/licensing and surveillance); and overseeing regulatory and administrative matters for broker-dealer mergers and acquisitions.

  • Represented Advisor Group in its acquisition of Ladenburg Thalmann Financial Services Inc., a transaction with a total enterprise value of approximately $1.3 billion.
  • B.S., Auburn University
Mac Knox

Consultant

Mac Knox

Consultant

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