Students who are members of the Securities Law Program (SLP) get access to its tightly knit alumni base working in Washington, D.C., New York, Boston, and in other financial centers. Our alumni are committed to providing to those rising through the ranks of the Program with the kind of assistance received when they were students at the Law School. Many alumni actively participate in the Program’s Mentor-Mentee system.
Our alumni populate the SEC, the CFTC, FINRA, and virtually every major securities firm in cities throughout the United States. Graduates of the Program have served as General Counsels and Assistant Directors of securities trade associations, securities regulatory agencies, major business corporations, the CEO of a major securities exchange, a Commissioner of the SEC, and other significant positions. Our alumni stand ready to help current students seek out and find a legal position, with the alumni’s own employer or elsewhere, that will be most suitable for the graduate’s skills and interests.
Recipe for Success: No one can promise you a job but, SLP’s track record suggests that conscientious pursuit of employment by our graduates, often with the support of alumni and the Program Director, generally leads to success in the securities industry.
Diana Alsabe '19
Ms. Diana Alsabe is an Associate Attorney at Rich May, P.C., a Boston-based law firm serving clients throughout the United States and abroad.
The Securities Law Program had a substantial impact on the direction of my career. While practicing, I’ve learned that attorneys value attorneys with specialized knowledge, which SLP delivers in spades. SLP prepared me in law school by giving access to coursework that handled the regulatory framework I’d be working with day-to-day on the job, and exposed me to internships that helped me understand the applicability of my coursework in practice. SLP has a highly supportive network of peers and alumni who acted as friends, guides and mentors to help me find my footing in the industry. I’m grateful for all this unique program has offered, to help me develop my career as an investment management attorney.
Andriana VanderGriend '16
Ms. VanderGriend is a Senior Manager at the London Stock Exchange Group's Government Relations and Regulatory Strategy, Americas.
"The Securities Law Program not only provided me with invaluable knowledge but opportunities to start and further my career, all from the amazing alumni network. I did not want a traditional career in law and the SLP helped me to achieve that. Without the alumni network, professors, and opportunities available, I wouldn’t be where I am today."
Nicolas Valderrama '21
"Joining the Securities Law Program was one of the best decisions I made in law school, as it introduced me to and ever-growing field of law, helped me build my network and gave me the tools necessary to begin my career as a securities lawyer. In particular, the Program was instrumental in helping me land a legal internship as a 2L with the Investment Company Institure (ICI), and later secure a position as Counsel with ICI after graduation. I first learned about ICI and the work of trade associations by connecting with alumni and seeking career advice from the Program's faculty. Morever, the training I received through the Program's curriculum, which covers all key areas of the federal securities law, helped me stand out during the interview process, and gave me the background necessary to be both an effective intern and a strong candidate for a full-time position after law school.
Ultimately, I found the Program's faculty and alumni network to be especially valuable. Likewise, the alumni network covers all areas of the securities industry, including law firms, regulatory bodies, exchanges, asset managers, and trade associations, among others. I benefited immensely from both faculty and alumni’s willingness to meet with students, share insights about their experience in the industry, and help students expand their network."
Anthony J. Colucci III '83
Working in private practice for over 25 years, Mr. Collucci represents large publicly traded and privately held companies as well as public entities in a wide variety of legal matters.
"The CUA Securities Law Program initially was the only one of its kind. It was unique then, as it is now, because it teaches students to seek real answers to ever evolving securities issues. Whether your practice eventually leads only to the area of securities law, or elsewhere, that training is priceless.
Timothy Nagy '98
Mr. Nagy is a member of Sidley’s global Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for Financial Services Regulation, and was named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. Mr. Nagy advises financial institutions, particularly broker-dealers, in compliance and enforcement matters. He has extensive knowledge of the U.S. capital markets and the rules that govern market participants.
"The securities alumni network was instrumental to me in landing a position at a prominent self-regulatory organization after law school. Later, I moved on to an international securities law firm. I continue to encounter many skilled and gifted CUA Law alumni in my current position with one of the country's leading broker-dealer practices."
Eric Oxley '04
Eric Oxley is a Shareholder and Executive Committee Member with the law firm Koley Jessen in Omaha, NE. Mr. Oxley was recognized by The M&A Advisor as one of their “Emerging Leaders,” which recognizes his significant level of success as a legal advisor in the M&A industry before the age of 40. He is listed in The Best Lawyers in America®, Super Lawyers, and has also been recognized by Chambers USA for Corporate/Commercial Law.
"I love what I do and am grateful for the training I received in the Securities Law program at CUA, including the amazing and unique opportunities it provided in terms of internships, which I fully utilized and have found to be very beneficial to my career development."
Christopher J. Geissler '16
"CUA's Securities Law Program somehow feels even closer to the SEC than the seven-minute Metro ride. The offering of securities law courses taught by industry leaders is unmatched. The Speakers Series attracts policymakers and thought leaders while the securities moot court program demands your application of the coursework. The Program's dedication to job placement is time-tested and its alumni are friendly and far-reaching. It is an elite securities law education.”
Myles Edwards '02
Mr. Edwards specializes in hedge and private equity fund law and his practice includes counseling existing and start-up funds on the manner in which to navigate U.S. securities laws and also liaises with off-shore attorneys to provide a comprehensive perspective on these matters.
Elliott Smith '07
Mr. Smith's practice involves the representation of clients in connection with securities offerings, mergers and acquisitions, private equity, and venture capital transactions, both internationally and domestically.
"The alumni network of Catholic University and the Securities Program in particular were an integral part of my job search and eventual placement with a firm. I reached out to several alumni of the Securities Program who were generous in their willingness to pass along my résumé and make introductions. Participating in the classes, moot court, and social events of the Securities Law Program helped me network for interviews and become familiar with the securities bar in D.C. I am now working for an international law firm doing domestic securities work as well as cross-border M&A and project finance."
Daniel B. O'Connell '16
"The Securities Law Program was one of the main factors that influenced me to choose CUA Law. I had heard great things about the Program prior to attending CUA, but once I became a student, over the course of three years, I experienced firsthand many of the benefits that the Program offers. My favorite aspect of the Program is the quality of the faculty, who are full-time practitioners in private practice or with the government. The course offerings span both the fundamentals of the federal securities laws, such as issuance and trading of securities, as well as more specialized subjects, such as derivatives, mutual funds, and enforcement. Those courses cover the law as well as policy and business considerations that practitioners need to be cognizant of. In addition to course offerings, the Program puts on a fascinating lecture series every year, and the Securities Law Moot Court program is a great opportunity to improve your advocacy skills as part of a close-knit team. The Program has a close, supportive, and widespread network of alumni who are on hand to assist and mentor students. My classmates and I have had opportunities to intern and work in a tremendous range of environments: government, private law firms, exchanges, self-regulatory organizations, and trade associations, to name a handful. And of course, the program's founder, Professor David Lipton, is an enthusiastic and dedicated leader who has gone above and beyond to ensure that students get the most from their experience.
The knowledge and experience I gained as a Securities Law Program student helped sharpen my analytical skills and shaped my career focus as a law student, and provided a foundation that allowed me to hit the ground running in my current position."
Mark Ruddy '00
Mark Ruddy, an alumnus and adjunct professor for the Securities Law Program, is founder of a boutique law firm catering to commodity traders and other participants in the financial derivatives markets.
Emily Penney O'Neill '03
"I always felt that the best part of attending CUA Law School was the people, the students, professors, and staff were friendly and helpful and provided a real sense of community. I have found that this sense of community continues through graduation. Those in the CUA alumni network (particularly in the securities group) are always willing to pick up the phone or send an e-mail for a fellow alum."
Andrew Brady '96
"Professor Lipton and CUA have provided invaluable assistance throughout my career. Professor Lipton's contacts and the excellent reputation of CUA's federal securities laws curriculum helped me secure an internship and then a permanent position at the Division of Corporation Finance. After nearly 10 years at the Securities and Exchange Commission, I lateraled to Skadden Arps in the summer of 2007. I look forward to continuing my relationship with Professor Lipton and the CUA Securities Law Program."
Michael Missal '82
"In 2015, I was appointed as Inspector General of Veteran's Affairs. I attended the original meeting of the Securities Law Group at the old Holiday Inn on Michigan Avenue. It was an intimate group at the time. My practice focuses on representing corporations, officers and directors in enforcement investigations by the SEC, FINRA, Department of Justice, and state securities regulators, as well as conducting internal investigations. I led internal investigations of such diverse companies as WorldCom, CBS News' 60 Minutes, subprime lender New Century Financial Corporation, and Service Corporation International, the largest provider of funeral homes and cemeteries."
Mark Amorosi '94
"CUA's Securities Law Program is comprehensive, disciplined, and practical, covering all vital areas of the federal securities law. The faculty teaching the program is highly experienced, knowledgeable, and engaging, and the network of program alumni runs deep in government agencies, law firms, and public and private companies. I started my career in securities law at the Securities and Exchange Commission in a position that I obtained through contacts that I developed at the SEC while participating in CUA's externship program. After the SEC, I joined K&L Gates and am now a partner in its Investment Management Practice Group, which is one of the country's largest and most experienced investment management groups, with more than 100 lawyers in over 14 offices in the United States and abroad."
Jonathan Bagg '04
"My work has involved capital markets transactions on three continents representing both underwriters and corporate issuers. At my law firm, when recent graduates start they normally rotate through several practice groups to find the right fit for them within the firm. Thanks to the Securities Law Program and the courses offered therein, I came to the firm with a basic understanding of the terminology and procedures relating to corporate finance and capital markets transactions so that I “hit the ground running” and was able play a more significant role than a junior associate normally would and was instantly integrated into the finance and capital markets practice group. Having this experience is, in part, what allowed me to work out of our London office for a few years."
Kevin Hull '99
"I came to CUA after eight years in the securities business seeking the law skills to ensure what I called 'permanent employability.' The securities law education at CUA Law was connected and comprehensive, giving me the opportunity to bring more to the table than other practitioners at my level. It is not just about the diverse coursework, it is the securities alumni group and contacts and opportunities in Washington, D.C. An internship at FINRA is leveraged into a slot in the SEC Student Observer program, which is leveraged into a paid position at the SEC, which is leveraged into a clerk position at one of the top law firms in D.C., which is leveraged into six years of private practice at top firms in New York City and California, which is leveraged into the CEO slot at a broker-dealer that successfully raised billions of dollars for its affiliated investment programs. While there is a heavy dose of personal drive, commitment, and ambition underlying anybody’s success, the solid CUA Securities Law Program, and its unparalleled network of contacts at the center of the securities law universe, is the foundation under the stepping stones."