Feb. 2009- Present                    WENDY A. LURIE, ESQ, LLC

Managing Member, General Counsel Consultant

Perform in-house General Counsel services on a consultancy basis to offshore and domestic private investment funds, funds of funds and Registered Investment Advisers. Draft offering documents for investment funds, negotiate and draft investment management, placement agent, consulting, administration, custodian, partnership, ISDA and prime brokerage agreements. Negotiate software licensing, technology, and service agreements. Review marketing materials and subscription documents, and prepare regulatory filings including ADVs and entity formation documentation. Draft codes of ethics, compliance manuals and procedures to ensure compliance with the firms’ policies. Conduct annual compliance reviews. Co-ordinate the firms’ responses to SEC audits. Draft employment contracts and termination agreements. Liaise with outside counsel, portfolio managers and investors on various legal issues.

Feb.1999- Jan. 2009                  ING INVESTMENT MANAGEMENT LLC, New York, NY

Corporate Counsel

Handled all legal issues for numerous offshore and domestic private investment funds and fund of funds and for business division that participates in WRAP programs and serves as adviser to separate accounts. Drafted offering documents for investment funds, negotiated and drafted investment management, solicitation and consulting agreements, reviewed marketing materials, negotiated software licensing, technology, and service agreements, assisted in the development of websites and coordinated responses in class action and other litigations. Supervised preparation of regulatory filings including ADVs for four registered investment advisors. Assisted Human Resources Department in handling employee disputes including drafting termination and release contracts. Spearheaded firm’s response to SEC audit in 1999. Liaised with outside counsel, portfolio managers and investors on various legal issues, including marketing investment products in foreign jurisdictions. Conducted employee training in related matters.

Jan. 1998-Jan.1999                    SANFORD C. BERNSTEIN & CO., INC., New York, NY


Advised Financial Advisors and New Accounts Compliance Department on issues related to accepting and managing the firm’s private client accounts, primarily high net worth individuals and trusts, to ensure compliance with internal procedures and SEC, NYSE, NASD and IRS regulations. Devised compliance program for reviewing communications between registered persons and the public to comply with NYSE and NASD regulations. Created internal procedures for monitoring and reporting IRA distributions and contributions and drafted training manual of regulations pertaining to IRA accounts.

July 1992-Dec.1997                   SECURITIES AND EXCHANGE COMMISSION, New York, NY

Feb.1997- Dec.1997 Branch Chief, Division of Enforcement

Supervised five attorneys in developing case strategy and conducting all aspects of investigations, litigations and administrative proceedings pertaining to the federal securities laws. Edited pleadings, action memoranda and settlement agreements.

July 1994-Feb. 1997 Senior Attorney, Division of Enforcement

July 1992-July 1994 Staff Attorney, Division of Enforcement

Conducted all aspects of investigations, litigations and administrative proceedings regarding violations of the federal securities laws, including sections 5 and 17 of the Securities Act of 1933 and sections 9, 10b-5, 13, 15, and 17A of the Securities Exchange Act of 1934. Investigated violations involving fraudulent sales practices, broker-dealer failure to supervise, sale of unregistered securities, Regulation T and net capital rules, market manipulation, insider trading and accounting irregularities. Took testimony and depositions, made oral arguments and opening statements and took witnesses at trial. Drafted pleadings, memoranda of law, settlement agreements and action memoranda.

Sept. 1988-July 1992                SKADDEN, ARPS, SLATE, MEAGHER & FLOM, New York, NY


Conducted all aspects of complex litigations, including taking and defending depositions, preparing expert and fact witnesses to testify at trial and in depositions and drafting pleadings. Negotiated, coordinated and responded to extensive requests for documents and responses to interrogatories in administrative proceedings before the Federal Trade Commission and the Department of Justice. Researched and wrote memoranda of law and opinion letters analyzing various ethical and antitrust issues. Created and implemented corporate compliance programs.

Aug. 1987-Aug. 1988                HARTMAN AND CRAVEN, New York, NY


Drafted pleadings, researched and wrote memoranda of law and negotiated settlements.


March 1987-May 1987             BUTLER, FITZGERALD & POTTER, New York, NY

Sept. 1986-Nov. 1986                DISTRICT ATTORNEY, COUNTY OF NEW YORK, New York, NY

March 1986-May 1986             GADSBY & HANNAH, Boston, MA

Sept. 1985-Feb. 1986                GILMORE & IANDOLI, Boston, MA


New York and Massachusetts



J.D., 1987

Clinical Programs: Prisoners Assistance Project, Criminal Advocacy Seminar


B.A., 1983 - Government Major. Honors: Dean’s List 


Spring 1982 - Concentration Middle East Studies