Therese M. Woods has twenty years of experience practicing securities regulatory and corporate law. Therese worked for the Securities & Exchange Commission for six years, in both the Office of Compliance Inspections and Examinations and Division of Market Regulation. Also, as Deputy Director and Counsel to the Corporate Financing Department at NASD (now FINRA), Therese counseled regulatory staff and member broker-dealers on NASD Corporate Financing Rules governing terms and arrangements of public offerings of securities. Therese worked with the NASD Corporate Financing Committee and prepared briefing materials for discussion at Corporate Financing Committee meetings. Therese also served as Second Vice President and Associate General Counsel to Acacia Life Insurance Company, a member company of UNIFI Companies, a financial services conglomerate with numerous financial service companies, including a bank, securities broker-dealer, investment advisor, socially responsible mutual fund company and insurance companies. As inside counsel to this company, she worked closely with the Boards of Directors of several UNIFI companies preparing Board briefing materials and communicating with Board members. In addition, as an associate at Clifford, Chance, Rogers & Wells and a counsel at Collier, Shannon and Scott (now Kelley Drye), Therese advised financial service companies on corporate and securities regulatory matters.
Fordham Law School
J.D., Editor Fordham International Law Journal
Fordham Graduate School of Business Administration
B.A. cum laude
Fordham Law Women’s Alumni Group of Washington, D.C, Member
New York, Connecticut, and District of Columbia State Courts
U.S. Supreme Court