RICHARD A. LEVAN
Phone: 215.568.9841
Fax: 215.568.9843
rlevan@rlevan.com
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RICHARD A. LEVAN, Esquire, is a leading authority on the legal and regulatory obligations of Investment Advisers and Broker-Dealers, as well as on the SEC obligations of public companies and private funds. Before establishing his firm, Mr. Levan was a partner at the law firm of Drinker Biddle & Reath LLP in Philadelphia, where he co-chaired both the firm's Securities Litigation & Regulation Group and its Financial Services Integration Group. He has also served as a senior official in the SEC's Philadelphia office, and as an Assistant U.S. Attorney in the Department of Justice in Washington, D.C. Mr. Levan is chair of the Securities Regulation Committee of the Philadelphia Bar Association. He also serves as a member of the Pennsylvania Securities Commission’s Attorney Advisory Committee.

Mr. Levan writes frequently on matters affecting the securities industry and has been quoted in such publications as The Wall Street Journal, The American Banker, Business Week, Bloomberg News, Smart Money, IA Week, The National Law Journal and Dow Jones News Service. He has also appeared on CNN and NBC Nightly News with Tom Brokaw. He is a featured speaker at national compliance and regulatory conferences sponsored by such organizations as the National Society of Compliance Professionals, National Regulatory Services, American Bar Association, Society of Financial Service Professionals, NASD/Wharton Institute, Pennsylvania Bar Institute and Investment Adviser Week.

In addition to his extensive compliance and counseling background, Mr. Levan has over twenty years' experience handling civil and criminal cases initiated by such entities as the U.S. Department of Justice, the U.S. Securities and Exchange Commission, state securities and insurance agencies and self-regulatory organizations such as the NASD, the New York Stock Exchange, and the Philadelphia Stock Exchange. Mr. Levan has received the "AV" rating from Martindale-Hubbell, the highest rating it provides. According to Martindale-Hubbell, "An AV Rating signifies that the lawyer has reached the heights of professional excellence. He or she has usually practiced law for a number of years, and is recognized for the highest levels of skill and integrity."

Mr. Levan graduated with honors from both the University of Pennsylvania (B.A. cum laude with Distinction in History, 1979) and the George Washington University's National Law Center (J.D. cum laude, 1982), after which he clerked for the Honorable John A. Terry of the District of Columbia Court of Appeals. He is a former Chair of the American Bar Association's Financial Services Integration Committee, a national group addressing the unique compliance and regulatory issues confronting banks, securities firms and insurance companies today.