Robert D. Terry
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|Address:||1040 Crown Pointe Parkway
Atlanta, Georgia 30338
Bob Terry is a member of the firm’s Regulatory Practice Group, advising and representing broker-dealers, investment advisors and individuals in regulatory, compliance, and enforcement matters. He also provides advice and representation to clients in connection with other corporate matters, including business organization structure and finance.
Mr. Terry has a wealth of experience in many aspects of representation of clients in securities matters. For example, in one case he recovered more than 1 million for defrauded limited partnership investors. He has likewise represented firms and individuals in enforcement cases brought by state and federal regulators, as well as in civil litigation. He has also seen the securities industry from the “inside,” having served as Chief Compliance Officer of SunTrust Investment Services, Inc., a major regional broker-dealer, and as Securities Counsel and Due Diligence Officer for FSC Securities Corp., a national independent broker-dealer.
For over eight years, Mr. Terry was Director of the Georgia Securities Division. He and his staff conducted numerous investigations of violations of Georgia’s securities laws, both independently and in cooperation with other states, resulting in the return of millions of dollars to investors as well as the imposition of administrative, civil and criminal sanctions against offenders.
In addition to his regulatory and enforcement responsibilities, Mr. Terry oversaw a major legislative revision of the Georgia Securities Act and, later, the adoption of the new Georgia Uniform Securities Act of 2008. He testified before legislative committees on numerous occasions in connection with those and other legislative initiatives. His office also enforced Georgia’s charitable solicitation laws, and his efforts in one case resulted in a settlement of over $4.5 million from a multinational corporation to a cancer research foundation. Mr. Terry has received two Outstanding Service Awards from the North American Securities Administrators Association for his work as a regulator.
As Director, Mr. Terry also served in many leadership roles within the North American Securities Administrators Association (NASAA), including two terms as a member of the Board of Directors, and service on many enforcement task forces. In addition, he was Vice Chair of the NASAA/FINRA CRD Steering Committee, which develops forms and processes for the CRD, IARD and IAPD-I, and reviews all broker expungement filings related to customer claims.
Mr. Terry has spoken to numerous groups of lawyers, industry members, regulators and private citizens about many aspects of securities regulation and enforcement, advising firms and their counsel about how to comply with securities laws, and helping educate people from all walks of life about how to avoid securities scams.
Mr. Terry is a native of Atlanta. After receiving his B.S. degree in Economics from the Georgia Institute of Technology, he earned his law degree from the University of Virginia School of Law. He later earned an M.B.A. from the University of Georgia. Mr. Terry is admitted to practice before all courts in the State of Georgia, and also the U.S. District Court for the Northern District of Georgia.