Mr. Schwartz is a member of Davis Polk & Wardwell’s Corporate Department, and heads the Broker-Dealer and Market Regulation practice within the firm’s Financial Institutions Group. He advises on securities compliance, regulatory and transactional matters. His clients include major international banks, broker-dealers, securities exchanges, consulting firms, a securities industry trade association and a large life settlement provider.

He joined Davis Polk as counsel in 2005 and became a partner in 2007.

From 1999 to 2005, Mr. Schwartz was executive vice president and general counsel of the Philadelphia Stock Exchange. Previously, he was managing director and counsel at Bankers Trust Company, specializing in bank and broker-dealer regulation and investment banking. He was formerly in private practice with Cleary, Gottlieb, Steen & Hamilton.

Mr. Schwartz graduated, summa cum laude, from the University of Pennsylvania in 1976 and in 1983 received his J.D., Order of the Coif, with honors, from New York University School of Law. He is admitted to the bars of New York and Pennsylvania.

Mr. Schwartz speaks and writes regularly on securities market structure and regulatory issues, and was formerly a member of Columbia Law School’s adjunct faculty and an instructor in the Wharton Executive Education/NASD Institute for Professional Development. He is the author of “Suggestions for Procedural Reform in Securities Market Regulation,” 1 Brooklyn Journal of Corporate, Financial and Commercial Law 409 (Spring 2007).