As a member of the firm’s leading investment management practice, David Garton regularly provides registered investment companies and financial institutions with guidance on a wide range of legal matters, including regulatory, compliance and transactional issues.
Prior to joining Stradley Ronon, Dave was a legal intern at an industry-leading broker-dealer. In this role, his responsibilities included legal research for financial compliance, privacy compliance and litigation teams; presenting legal memoranda; implementing compliance projects; reviewing client disclosure documents; and tracking state insurance law issues.