AEGIS J. FRUMENTO Partner

(212) 792-8979
afrumento@sterntannenbaum.com

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●	Speaker, “The Latest on 10b5-1 Trading Plans: General Pros, Cons and Question Marks,” in private continuing legal education course given at over 12 major law firms in New York City (certified for 1hour of CLE credit in NY), 2010-2011.
●	Regular speaker and instructor at branch, regional, divisional, and specialist internal training courses at Morgan Stanley Smith Barney, 2006 to present.
●	Panelist, “In-House Roundtable: Best Practices for Fiduciary Compliance,” American Conference Institute’s National Forum on the Regulation and Enforcement of Broker-Dealers and Investment Advisors, March 31, 2011.
●	Speaker, “Corporate Governance and Insider Trading: Practices, Predicaments and Problems,” ShareComp 2011, (online virtual conference, www.sharecomp2011.com), February 2011.
●	Panelist, “In-House Think Tank on Minimizing Legal Risks in the Design, Implementation and Administration of Executive Compensation Packages,” American Conference Institute, Forum on Executive Compensation, Chicago, Illinois, July 22, 2010.
●	Speaker, “The Latest on 10b5-1 Trading Plans: General Pros, Cons and Question Marks,” ShareComp 2010, (online virtual conference, www.sharecomp2010.com), February 2010.
●	Speaker, “Gifts of Restricted Stock—Considerations for the Charity and the Donor,” Stanford University Conference on Charitable Giving 2009, Palo Alto, California, May 2009.
●	Co-Chair and Speaker, American Conference Institute, 3rd Annual Broker/Dealer Forum on Resolving Customer Claims—Best Defenses and Advocacy Tactics in Arbitrations and Mediation, New York, May 23-26, 2006
●	Panelist, “In the Hot Zone: D&O Liability and Insurance—Updates and Trends,” Risk Insurance Managers Society Annual Meeting, Honolulu, Hawaii, April 26, 2006
●	Co-Chair and Speaker, American Conference Institute, 2nd Annual Defense Counsel's Forum on Prevailing Against Customer Claims, New York, May 24-25, 2005
●	Panelist, “Retrieval and Recovery: Ensuring Your System Complies with SEC Section 17a-4 and Optimizes Litigation/Investigation Resources,” and “Erasing and Destroying Electronic Documents,” American Conference Institute, Broker/Dealer Information Management, New York, March 17, 2005
●	Speaker, "The Impact of SEC Enforcement Actions on D&O Policies," American Conference Institute's 10th National Conference on D&O Liability Insurance, New York, December 2004
●	Panelist, "Maintaining Ethical Standards in Securities Arbitrations," American Conference Institute, Defense Counsel's Forum on Securities Arbitration, New York, June 22-24, 2004
●	Speaker, "What's the Case Worth? A Systematic and Quantitative Approach to Case Assessments," American Conference Institute, Defense Counsel's Forum on Securities Arbitration, New York, June 22-24, 2004
●	Co-Chair and Speaker, American Conference Institute, Defense Counsel's Forum on Securities Arbitration, New York, June 22-24, 2004
●	Speaker, "The Distorting Impact of D&O Liability Insurance on SEC Enforcement Actions," American Conference Institute, 9th Conference on D&O Liability Insurance, December 8-9, 2003
●	Speaker, "Record-keeping Obligations Under the Sarbanes-Oxley Act of 2002," Annual Conference of the American Records Management Association, Boston, Massachusetts, October 23, 2003
●	Speaker, "From Central Bank to In re Enron: The Demise and Revival of Secondary Actor Liability," American Conference Institute, Trying and Defending Securities Class Actions, June 24-25, 2003
●	Speaker, "How to Appeal SRO Determinations," Association of the Bar of the City of New York, Self-Regulatory Organization Practice, February 10, 2003
●	Speaker, "Self-Regulatory Organization Practice: Defusing the Flashpoints," The Association of the Bar of the City of New York, New York, New York, February 10, 2003
●	Speaker, "New Developments in SEC Enforcement: Targets, Methods and Remedies," American Conference Institute, Securities Enforcement and Litigation, September 19-20, 2002
●	Speaker, "Representing Officers, Directors and Significant Shareholders of Public Companies," Association of the Bar of the City of New York, Introduction to the Deal: What's Involved Once Your Company Goes Public, New York, January 25, 2002, January 17, 2003
●	Panelist, Association of the Bar of the City of New York, Self Regulatory Organization Practice, December 12, 2001
●	Speaker, "Electronic Signatures In On-Line Transactions," Securities Industry Association, Internet Update Conference and Exhibit, New York, February 12, 2001
●	Speaker, "Implementing E-Signatures, Legal and Practical Considerations," American Conference Institute, Fourth National Conference on Securities Trading on the Internet, New York, November 13, 2000
●	Speaker, "Proving Electronic Signature," Securities Industry Association, Conference on Internet and On-Line Trading, New York, September 26, 2000
●	Speaker, "Electronic and Digital Signatures: What They Are, What They Mean," American Conference Institute, Conference on Internet Securities Regulation, June 27, 2000