With deep experience as in-house counsel and in private practice on the east and west coasts, Mauricio represents financial institutions in securities and commercial litigation and arbitration, employment, and regulatory proceedings. Mauricio also provides compliance and regulatory counsel to numerous broker-dealers, investment advisers, and hedge funds.
For nearly 10 years, Mauricio founded and managed his own bi-coastal law firm that served financial institutions, including international and boutique brokerage firms, investment banks, private equity firms, investment advisers and hedge funds in litigation and arbitration proceedings, regulatory matters, internal investigations, and compliance counseling.
Prior to going into private practice, Mauricio held multiple leadership roles in the compliance and legal division of Morgan Stanley. He served as counsel to the global wealth management group’s chief compliance officer, served on the new product and heightened supervision committees, and acted as lead counsel in hundreds of securities arbitrations, internal investigations, regulatory proceedings and mediations across the country.