Background
Marshall, Richard D. was born on January 14, 1953 in Chicago, Illinois, United States.
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Richard D. Marshall
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Richard D. Marshall, American lawyer, specializing in the field of Corporate Investigations, Government Investigations, Governmental Defense, Financial Services Regulation, Mutual Funds, Regulatory Investigations, Investment Regulation, Securities. Member of Kirkpatrick & Lockhart Limited Liability Partnership.
Education
Yale University (Bachelor of Arts, cum laude, 1975). University of Toronto (Master of Arts, 1977). University of Chicago (Juris Doctor, 1980).
Career
Worked at Kirkpatrick & Lockhart Limited Liability Partnership (New York, New York) specializing in Corporate Investigations, Government Investigations, Governmental Defense, Financial Services Regulation, Mutual Funds, Regulatory Investigations, Investment Regulation, Securities, Broker-Dealer Regulation, Investment Company Law. Admitted to the bar, 1981, New New York 1985, District of Columbia.
Author: "Dirks in the Lower Courts," Review of Securities Regulation, 1984.
"Protecting Investors During Reorganizations (Insights 1992). "Surviving an Inspection of an Investment Company or Adviser," (Insights 1993).
"Update on Principal Trades," (Investment Lawyer 1995). "The Securities and Exchange Commission" General’ s Office of Compliance, Inspection and Examinations: A Better Mousetrap?" (Investment Lawyer 1996).
"Securities and Exchange Commission Inspections and Enforcement," Church
13, The Investment Company Regulation Deskbook(1996). "Securities and Exchange Commission Inspection: The Preventable Prelude to Enforcement Action," Church 2 The Securities Enforcement Manual: Strategies and Tactics (1996).
Branch Chief, 1984-1985 and Senior Associate Regional Administrator (Investment Management and Corporate Reorganization), 1988-1993, Securities and Exchange Commission.
