Overview

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.

  • Experience

    • Represented numerous broker-dealers, registered representatives, investment advisers, and individual investors in more than 75 FINRA, JAMS and AAA arbitration hearings that went to full award.
    • Served as legal counsel for New York City-based broker-dealer affiliate of international bank holding company regarding self-clearing conversion.
    • Serve as compliance counsel to San Francisco-based investment bank/broker-dealer on a variety of regulatory issues including research, sales, and trading.
    • Defended dozens of registered representatives in FINRA and SEC regulatory inquiries and enforcement actions.
    • Serve as compliance counsel to New York-based hedge fund clients related to trade monitoring and surveillance.
    • Prosecuted claims on behalf of two individual investors in claims against national-broker dealers resulting in pre-hearing seven-figure settlements.
    • Defended San Francisco-based national broker-dealer in FINRA arbitration brought by a trader claiming failure to provide best execution.
    • Defended New York City-based registered representatives in SEC inquiry into the sales practices of municipal bonds.
    • Defended west coast-based investment adviser in a CFTC sales-practice investigation and deposition that resulted in no disciplinary action.
    • Defended west coast-based international investment adviser in numerous JAMS and AAA arbitration proceedings for claims under the 1940 Act that went to full award.
    • Routinely represent and counsel registered representatives on transition matters, Form U4/U5 reporting, and The Protocol for Broker Recruiting.
    • Represented national broker-dealer in numerous employment and promissory note FINRA arbitration hearings that went to full award.
  • Credentials

    Education

    • Golden Gate University School of Law, J.D., 1998
    • University of California - Santa Cruz, B.A., Politics, 1995

    Bar Admissions

    • California
    • New York
    • District of Columbia
    • U.S. Court of Appeals for the Ninth Circuit
    • U.S. District Court for the Central District of California
    • U.S. District Court for the Northern District of California
    • U.S. District Court for the Southern District of California
    • U.S. District Court for the Southern District of New York

        Professional Memberships

        • San Francisco Bar Association
        • New York City Bar Association
        • SIFMA, Legal & Compliance Division
      • Insights

        TITLE
        Article

        The Current Environment of U.S. Cryptocurrency Regulation

        Westlaw Journal: Bank & Lender Liability

        News Release

        Schiff Hardin Adds Securities and Commercial Litigator Mauricio Beugelmans In San Francisco

        New Partner Deepens Firm’s Securities Litigation and Compliance Practice

        Speeches & Presentations

        • “Securities Arbitration” San Francisco Bar Association, San Francisco (Oct. 25, 2017)
        • “Introduction to Securities Arbitration” National Association of Minority and Women Owned Law Firms, Annual Meeting, New York (Sep. 18, 2017)