Sharon Oshaughnessy
Partner @Davis Wright Tremaine LLP
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WORK HISTORY
Partner @Davis Wright Tremaine LLP
New York, NY, US
Represent financial services firms and their employees in regulatory and government investigations and enforcement proceedings by the SEC, FINRA, and various state regulators involving myriad subject matter including, but not limited to, fraud, manipulative and insider trading, whistleblower allegations, order handling, suitability, inadequate supervision, and inadequate policies and procedures. •Navigate market participants through the maze of regulatory requirements and provide compliance-based counseling. •Conduct internal investigations of whistleblower allegations.•Represent companies and individuals accused of business crimes, public corruption, securities law violations, and fraudulent practices by U.S. Attorneys’ Offices, State Attorneys General, District Attorneys’ Offices, and the SEC. •Represent financial services firms and their employees in federal and state court matters, as well as FINRA arbitrations, relating to commercial and employment issues.•Perform limited due diligence on behalf of Authorized Participants for lead market-maker activity and providing seed money for the launch of new exchange-traded funds. •Serve as Chair of the Financial Services Practice Group DEI Committee and guide DWT’s 70 financial services attorneys in taking concrete and measurable actions to further diversify the team, retain and promote diverse team members, and foster an environment in which all team members have equal opportunity to build successful and sustainable practices that will lead to advancement and opportunity. •Serve on New York Office DEI Committee.•Serve on firmwide Pro Bono Committee.•Serve as Supervising Partner and guide attorneys and administrative staff in connection with firm pro bono initiatives.
EDUCATION
Seton Hall University School of Law
J.D., Law
New York University
B.S., Communication Studies
New York University
M.A., Speech and Interpersonal Communication
ABOUT SHARON OSHAUGHNESSY
I focus my practice on defending, advising, and guiding financial services firms and their employees in regulatory and government investigations and enforcement proceedings, litigation involving securities law and commercial claims, and compliance with regulatory requirements. I have convinced regulators not to pursue enforcement action against my clients and have skillfully obtained favorable outcomes with regulators. I have convinced federal prosecutors to reduce federal felony charges to misdemeanors. I have successfully had cases dismissed in full after arbitration and during motion practice.I also perform limited due diligence on behalf of Authorized Participants for lead market-maker activity and providing seed money for the launch of new exchange-traded funds. I am actively committed to pro bono service, diversity, equity, inclusion, and belonging, and sponsorship/mentorship.At DWT, I Chair the Financial Services Practice Group DEI Committee and serve on the New York Office DEI Committee. I regularly speak on the advancement of historically underrepresented lawyers in the financial services community, and I participated in the Leadership Counsel on Legal Diversity Fellows Program, which recognizes diverse attorneys who have distinguished themselves as leaders in the legal industry. I collaborate with colleagues to identify and secure speaking engagements and other opportunities for DWT’s diverse attorneys to raise their visibility in the legal community. I am a member of DWT\'s firmwide Pro Bono Committee, and I serve as Supervising Partner and guide attorneys and administrative staff in connection with firm pro bono initiatives, including DWT’s work with the Homeless Advocacy Project and Transgender Legal Defense & Education Fund. Throughout my career, I have provided advice, advocacy, and representation to the most vulnerable populations in New York City. I have been recognized for my distinguished pro bono service by the New York Judiciary.[ATTORNEY ADVERTISING. Prior results do not guarantee a similar outcome.]
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