Dennis Bertron is an experienced corporate and securities attorney with over 20 years of experience advising major corporations, investment banks, and hedge funds. He has worked at large law firms including Sidley Austin and Akin Gump, as well as in-house at a $13 billion hedge fund. Bertron also spent two years at the SEC examining filings. He is looking for a new opportunity that utilizes his regulatory compliance and securities law expertise.

1. Dennis Bertron
44 Newman Avenue
Verona, New Jersey 07044
Home: (973) 857-2779 dbertron@comcast.net Cell: (201) 704-8592
Summary: Accomplished, energetic corporate and securities attorney with over 10 years of
sophisticated regulatory and compliance experience including experience gained in-house, at
major corporate law firms and with the U.S. Securities and Exchange Commission. Dedicated
and detail-oriented. Areas of expertise include:
SECURITIES LAW – REGULATORY COMPLIANCE – GOVERNMENT RELATIONS
REGULATORY REPORTING - RISK MANAGEMENT – LEGAL RESEARCH, ANALYSIS AND WRITING
Experience:
Atticus Capital LP, New York, NY January 2007 – January 2009
Atticus Capital LP is a hedge fund with approximately $13 Billion AUM. Atticus has offices in New York and London.
Vice President and Assistant General Counsel
● Recruited by general counsel to improve the Firm’s regulatory reporting in the U.S. and around the world.
Responded to regulatory inquires from various foreign securities regulators. Successfully registered an Atticus
manager as a Foreign Institutional Investor with the Indian securities regulator (SEBI). Maintained regular
dialogue and managed foreign and domestic legal counsel.
● Introduced internal systems and reports to improve regulatory compliance procedures. Prepared Forms 13F,
Schedules 13D and 13G, and Forms 3, 4 and 5 with the SEC. Improved efficiency and reduced costs by filing
some reports in-house.
● Updated the Firm’s compliance manual. Assisted in the Firm’s annual compliance seminar. Prepared
compliance reports for management and trading staff. Supervised the Firm’s trade management (Charles River)
system and cleared trade alerts and warnings. Tailored trade alerts to ensure trading efficiency.
● Counseled executive management and the trading staff on such issues as foreign trade regulations, employee
trading, short selling and the marketing of fund interests around the world.
● Prepared Hart-Scott-Rodino Act Premerger Notifications and responded to inquiries from the Federal Reserve
Bank. Negotiated non disclosure agreements and contracts with outside service providers.
Sidley Austin LLP, New York, NY August 2004 – December 2006
Associate
● Advised major domestic and international corporations, investment banking firms, commercial banks, and
hedge funds in respect of federal and state broker-dealer rules and regulations, applicable self-regulatory
organization rules and regulations, and general securities matters.
● Prepared regulatory filings on behalf of clients required by the SEC, NASD (now FINRA) and other SROs.
Counseled clients on Rule 144 resales and short swing profit issues under Section 16. Prepared Forms 13F,
Schedules 13D and 13G, and Forms 3, 4 and 5 with the SEC
● Counseled new broker-dealer clients and assisted in the NASD membership application process. Prepared all
necessary documents in the application process including Forms BD, written supervisory and compliance
manuals, business plans, anti-money laundering compliance issues and Rule 15a-6 “Chaperone” Agreements for
foreign broker-dealers operating in the U.S.
Akin Gump Strauss Hauer & Feld LLP, New York, NY May 2001 – August 2004
Associate
● Prepared beneficial ownership statements under the Exchange Act (Schedules 13D and 13G, Forms 3, 4 and 5)
and counseled public and private investment fund clients on associated issues.
● Prepared memoranda and advised clients about compliance issues under the Sarbanes-Oxley Act, Rule 144,
Regulation S, the partial tender offer rules, exchange traded funds, the short sale rules, and the rules and
regulations of the NYSE and various SROs.

2. Dennis Bertron
Home: (973) 857-2779 dbertron@comcast.net Cell: (201) 704-8592
Thelen Reid & Priest LLP, New York, NY December 1999 – May 2001
Associate
● Prepared registration statements under the Securities Act of 1933 (e.g., Forms SB-2, S-3 and S-8) and the
Exchange Act (e.g., Forms 8-A, 8-K, 10-K and 10-Q). Prepared registration materials on Form ADV for a new
investment adviser and counseled clients on issues such as wrap fee arrangements, advertising and other
compliance issues under the Investment Advisers Act of 1940. Prepared articles on various securities law topics
for publication to clients on such topics as Regulation FD, Rule 144, Regulation S and Rule 10b5-1 trading plans.
U.S. Securities and Exchange Commission, Washington, D.C. February 1997 – December 1999
Attorney/Adviser, Division of Corporate Finance
● Examined various registration statements, annual, periodic and current reports, shareholder proposals and other
materials filed with the SEC by domestic and foreign issuers. Examined documents filed with the SEC relating to
initial public offerings, mergers and exchange offer transactions. Also examined more sophisticated transactions
such as “toxic” convertible share offerings, “Exxon Capital” exchange offerings, and “going private”
transactions. and proxy contests involving management and insurgent parties.
● Responsible to review and analyze proxy statement submissions to the Divisions, including proxy contests
involving management and insurgent parties.
● Selected to be a rotating attorney in the Division’s Office of Chief Counsel to supervise the Division’s
shareholder task force of about a dozen attorneys in reviewing over 300 no-action letter requests. Drafted
numerous no-action letter responses on behalf of the Division.
Early Career History Includes:
Prudential Insurance Company of America, Legal Assistant, Newark, NJ 1995 - 1997
(full-time while attending law school at night)
Morgan Guaranty Trust Company of New York, Legal Assistant, New York, NY 1989 - 1994
(full-time while attending law school at night)
Shearman & Sterling, Legal Assistant, New York, NY 1987 - 1988
Nashoba Cable Television, Production Assistant, Westford, MA 1986
Education:
BA, Boston College, Chestnut Hill, MA, 1986.
JD, Seton Hall University School of Law, Newark, NJ, 1996.
Bar Admissions:
New York, New Jersey
Publications:
● Member of the Advisory Panel to The Corporate Counsel.net.
● Contributing Author, Shareholder Proposal Handbook, (2002 Aspen Publishers).
● Co-Author with Richard Y. Roberts – Regulation FD: Leveling the Playing Field, eSecurities, November 30, 2000.
References:
Available upon Request