Mr. Merolla focuses his practice on securities and investment regulation, equities market structure issues, broker/dealer advisory matters, regulatory and internal investigations and examinations, regulatory compliance, corporate governance, cross-border matters, and independent examiner engagements.
Prior to joining Murphy & McGonigle, Mr. Merolla served for over 20 years as a senior in-house counsel within the securities industry – most recently as General Counsel of a public company, Instinet Group Incorporated, and its affiliated broker/dealers, the main businesses of which were an equities trading platform and institutional equities brokerage. Mr. Merolla had previously served as senior legal counsel to two large, international, fully-diversified investment banks and broker/dealers, Goldman Sachs & Co., Inc. and Drexel Burnham Lambert Incorporated. His responsibilities covered global legal, compliance and internal audit functions, equities advisory support, litigation and regulatory proceedings, and public company and corporate governance work.
Mr. Merolla has substantial experience advising financial institutions and their senior management on a variety of matters including issues relating to trading, sales and research; equities and fixed income products; insider trading; market manipulation; market structure; compliance; mergers and acquisitions; international transactions; cross-border matters; personnel matters; corporate governance, including executive compensation; litigation and arbitration; and regulatory and internal investigations. He has extensive experience with mortgage-backed and other asset-backed securities, as well as experience in bankruptcy and liquidation proceedings. He also has served as an independent examiner appointed and approved pursuant to regulatory settlements.
In his years of practice within the securities industry, Mr. Merolla had regularly dealt and communicated with industry regulators such as the SEC, NASD and NYSE and also with foreign regulators on regulatory and enforcement matters. As a former General Counsel, Mr. Merolla understands the role and demands associated with being in-house counsel and is able to advise clients on a host of issues faced daily by in-house attorneys.
Mr. Merolla periodically serves as an arbitrator for the Financial Industry Regulatory Authority (FINRA) and is a member and Past President of the SIFMA Compliance and Legal Division.