Frederick Wertheim

Partner at Sullivan & Cromwell LLP

Frederick Wertheim

Frederick Wertheim

Partner at Sullivan & Cromwell LLP

Biography

Rick Wertheim is a partner in the Firm’s Financial Institutions Group, concentrating on broker-dealer regulation and investment management.

In the area of broker-dealer regulation, Mr. Wertheim regularly advises major investment banks and smaller brokerage firms on both transactional and compliance matters, including compliance with margin regulations. He has counseled many non-U.S. financial institutions on scope of permissible activities in the United States, on the process of forming a U.S. registered broker-dealer affiliate and on the disposition of U.S. brokerage assets in the wake of the financial crisis. He regularly advises on business combinations involving broker-dealers. Mr. Wertheim’s practice extends to the regulation of securities exchanges and alternative trading systems. He advised IntercontinentalExchange on its acquisition of NYSE Euronext in 2012-13 and the subsequent restructuring of NYSE Euronext’s assets.

Mr. Wertheim’s work in the investment management area includes advising public and private investment companies and employees’ securities companies as well as matters of investment adviser regulation. He advises extensively on “status” questions about whether a company’s activities assets might cause it to be an inadvertent investment company. He also advises non-U.S. financial institutions on the process of establishing U.S. advisory operations. Mr. Wertheim provides regular advice to the independent directors of the Alliance Bernstein Funds and other of the Firm’s fund clients. Since the enactment of the Dodd-Frank Act, he has advised bank-affiliated institutions on compliance with the Volcker Rule, and private investment advisers on the new registration requirements and exemptions. Mr. Wertheim also regularly advises clients on the investment management aspects of mergers and acquisitions of financial institutions.

Mr. Wertheim is the author of the chapter “Broker-Dealer and Associated Person Registration” in the PLI treatise Broker-Dealer Regulation and editor of the definitive treatise on the federal margin regulations, Rechlin on Securities Credit Regulation.

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Senior Chair at Sullivan & Cromwell LLP

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Partner at Sullivan & Cromwell LLP

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Managing Partner, Executive Compensation & Benefits Practice Group at Sullivan & Cromwell LLP

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Partner at Sullivan & Cromwell LLP

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Partner at Sullivan & Cromwell LLP

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Special Counsel at Sullivan & Cromwell LLP

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Partner at Sullivan & Cromwell LLP

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Partner at Sullivan & Cromwell LLP

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Partner at Sullivan & Cromwell LLP

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Faculty Member & Author at Practising Law Institute

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Frederick Wertheim
Partner at Sullivan & Cromwell LLP
Education
J.D.
Class of 1987

Founded in 1835, New York University School of Law has a record of academic excellence and national scholarly influence. One of the first law schools to admit women, it has been long committed to welcoming students of diverse backgrounds, people who had been discriminated against by many other institutions. Located on the University's campus in Greenwich Village, NYU Law has been a leader, and continues to be, in areas such as law and business, clinical education, public service, interdisciplinary colloquia and global studies.

A.B.
Class of 1982

The oldest corporation in the Western Hemisphere is the Harvard Corporation, known formally as the President and Fellows of Harvard College. It is the smaller of Harvard’s two governing boards; the other is the Board of Overseers. Following are the members of the Harvard Corporation.

Career History
Partner
Current

Sullivan & Cromwell provides legal advisory services to financial, healthcare, insurance, real estate, energy, other sectors.

Boards & Committees
Member, Diversity Committee
Tenure Unconfirmed

Sullivan & Cromwell provides legal advisory services to financial, healthcare, insurance, real estate, energy, other sectors.

Political Donations
$1,000
2016

Minority Leader at Office of the Senate Minority Leader, Charles Schumer

$1,000
2012

Senator from Connecticut

$1,000
2012

Treasurer at Government of Ohio

Transactions
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SVB Financial Group, Silicon Valley Bank purchase SVB Leerink Holdings LLC from SVB Leerink LLC

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MUFG Union Bank NA, Mitsubishi UFJ Financial Group, Inc. purchase Intrepid Investment Bankers LLC

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Bank of Montreal purchases KGS-Alpha Capital Markets LP from Arsenal Capital Management LP, Alignvest Private Capital

Other Affiliations

Frederick Wertheim is affiliated with Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

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