RESUME
ROBERT ANTHONY BARRON
9 Edgewood Road, Hartsdale, NY 10530
Phone:(914) 693-4465 | Fax: (914) 479-5268
Email:
EDUCATION:
Brown University, BA - 1955
Columbia Law School, LLB JD - 1960
WORK HISTORY:
Gifford, Woody, Carter & Hays - 1960-1970
(Law Firm, NYC)
Harris Upham & Co., Inc. - 1970-1976
(Securities Broker-Dealer Firm, NYC)
Smith Barney Harris Upham & Co., Inc. - 1976-1993
Smith Barney Shearson, Inc. - 1993-1994
Smith Barney Inc. - 1994-1997
Salomon Smith Barney Inc. - 1997 to 3/31/02
Retired Senior Vice President & Co-Director of Executive Financial Services
MILITARY
U.S. Navy (1955 - 1957) Chief Engineer on Fletcher Class Destroyer U.S.S. Wadleigh (DD689).
Letter of Commendation from Com. Des. Div. 342 (1957).
OTHER ACHIEVEMENTS:
Author - Securities Regulation Law Journal, Column on “Control and Restricted Securities” - 1975 to Present
Adjunct Professorat NYU School of Continuing & Professional Studies (Foreign Corrupt Practices Act, FCPA) - 2010 to present
Adjunct Professorat Paralegal Studies - 1980 to 2010
NYU Paralegal Institute (Award for Teaching Excellence - 1987)
Advisory Boards: NYU Paralegal Institute - 1995 to 2010, Securities Regulation Law Journal - 1990 to present, National Association of Stock Plan Professionals - 1990 to present
Member of East Coast ContentCommittee - Securities Industry Continuing Education Program (1996-2002)
For the past decade, Mr. Barron hasbeen in high demand as a consultant and expert witness in arbitrationsinvolving control and restricted securities. His more than forty expert witness clients have included Citigroup, Solomon Smith Barney, the State of FloridaOffice of Financial Regulation, the Charles Schwab Corporation, Dexia Bank Nederland NV, and most recently STEC, Inc.
Has spoken extensively on the topic “Securities Transactions By Officers and Directors of Publicly Traded Companies, Avoiding the Legal Landmines”, and related topics before: The New York Regional Office of the SEC, NASPP Annual Conference and regional conferences, the Financial Executives Institute, American Society of Corporate Secretaries, the ALI-ABA Post-Graduate Course in Federal Securities Law, Mid-Atlantic Securities Transfer Association, Sharedata Users Conference, Corporate Management SolutionsAnnual Users Conference, the American Stock Exchange Option Symposiums, Bay Area Stock Forum,Equity Shareholder Services Association, National Investors Relations Institute, New York State Society of Certified Public Accountants, Massachusetts State Bar Association, and the Washington State Bar Association. Mr. Barron has also madesuch presentations to law firms, accounting firms and public and private companies.