William Dailey Fox Rothschild, LLP, Stamford, CT William focuses his practice on securities regulatory, litigation and compliance issues, but also works on a variety of general corporate and employment matters. He has experience handling major regulatory proceedings, class actions, and federal, criminal and other litigation. In addition, he managed a series of corporate reorganizations and over $300 million in private placements — all involving a publicly-traded, major investment bank.William has coordinated the efforts of outside counsel and overseen merger, acquisition and joint venture agreements and expansion into new businesses, including negotiating and drafting numerous agreements; designing systems of supervisory oversight and compliance; obtaining expeditious approvals from SEC and SROs; resolving corporate control and intellectual property right issues; designing and negotiating compensation plans and employment agreements; and designing cost-effective, internal controls and systems under Sarbanes-Oxley.He has worked on matters involving the Securities Exchange Act of 1934, the Securities Act of 1933, the Investment Adviser Act of 1940, the Investment Company Act of 1940, state securities laws regarding broker-dealers and investment advisers, SRO rules and more. William has represented numerous broker-dealers and their employees in legal and regulatory matters, including preparing employee witnesses for (and representing them in) effective testimonies before the SEC, NYSE, NASD (now FINRA), AMEX and ISE, and obtaining very favorable results in numerous regulatory investigations and other inquiries.