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William Kimme
Omaha, NE
currently: Open for projects
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Work history
Attorney
tags:
corporate
• regulatory
• litigation management
• capital markets
• compliance
• due diligence
How would you describe your time at Mick & Associates, P.C., LLO?
Provide expert due diligence, regulatory, compliance, litigation management, and corporate services for clients. Primarily responsible for hedge fund, managed futures, and commodity pool due diligence analysis.
FINRA
January 2000 to August 2009
Assistant Director
tags:
project management
• domestic
• manage
• capital markets
• web
• international
• corporate legal
• writer
• presentations
• technology
• customer service
• compliance
• business development
• transactions
• comsulting
• commercialization
• contracts
• creative
• design
• training
• negotiation
How would you describe your time at FINRA?
Leading contributor to FINRA strategic committees and to global ventures. Lead acquisition efforts for the department. Develop, implement, and manage strategic plans, corporate issues, contract issues, budgets, securities laws issues, and ???40 Act issues. Deliver expert counseling on SEC matters, rules and procedures, and compliance issues. Design program rules, procedures and manuals. Participate in preparation of materials for Board and National Advisory Committee meetings. Provide project management of new business ventures. Provide assistance with technology initiatives, and web site development. Provide training to new clients, trade associations, government entities, and internal staff.
Corporate:
??? Instrumental in drafting division???s due diligence, agreement, and web technology phases for the NASD acquisition of NYSE regulatory assets. Primary person handling rebranding efforts for division. Assisted in garnering $1m annual fee from NYSE for services, as well as an anticipated $1m in fees from administering NYSE arbitration cases.
??? Drafted and negotiated service agreements increasing revenues by $1m.
??? Drafted the winning technical proposal capturing FINRA's first consulting account ($500K) with a European government. Served a key role in the completion of the assignment.
??? Instrumental in designing and implementing FINRA???s special procedures for auction rate securities claims pursuant to regulatory settlements, expected to generate an estimated $600k to $1m in startup fees, and an estimated $1m in case administration fees. Lead a team of professional staff in devising, and training for, the program.
Compliance:
??? Established procedures for the management of cases received from other exchanges. Managed staff and cases to ensure compliance. Result: Passed NASD internal audit, SEC, and GAO inquiries covering these cases.
??? Designed domestic and international program rules, manuals, policies and procedures, encompassing local and national rules, regulations, and industry standards.
??? Conducted presentations for international and domestic trade groups, exchanges, and delegations.
??? Developed case management and financial reporting procedures for new clients compliant with
Sarbanes-Oxley requirements.
WILLIAM BRIAN KIMME??? Page Two ??? williamkimme@yahoo.com
Operational Enhancements:
??? Chosen as the only non-officer member of FINRA???s Executive Task Force on investment advisers, and
the Corporate Goals Committee.
??? Chosen as a member of the corporate Job Evaluation Committee. Major impact on the classification of job requests, and pay scales for new positions.
??? Participated in drafting the requirements for FINRA???s new case tracking and retrieval system for arbitrations and mediations. Provided ongoing consultation with respect to requirements for new clients.... 
NASD
July 1991 to January 2000
Staff Attorney/Senior Attorney
tags:
compliance
• mediation
• training
• management
• creative
• project management
• customer service
• litigation management
• federal and state securities ...
• arbitration
• presentations
• audits
• facilitated settlement of cases
How would you describe your time at NASD?
Ensured top performance of 12 staff focused on administration federal and state securities laws and regulations, and compliance cases. Delivered litigation management services. Counseled arbitrators. Trained arbitrators and supported individual assignments to facilitate the effective settlement of cases. Communicated and ensured compliance with processes, procedures, and regulations. Addressed case administration and legal issues with parties and staff.
??? Managed budgeting operations for the Regional Office, and Enhanced financial audit accuracy from 70% to 95%, resulting in fee increases and reductions in receivables and write-offs.
??? Established FINRA???s first continuing education programs for arbitrators, serving an instrumental role in later course expansions to all regional offices and Dispute Resolution's website....
Associate
tags:
hospital
• collection
• legal representation of clients
• corporate
• mergers/acquisitions
• international consignment sales
• corporate secretary
• joint ventures
• real estate
• contracts
• health care
• creative
• tax
How would you describe your time at Law Firm?
Represented clients in the areas of corporate, insurance, pharmaceutical, health care, banking/mortgage, financing, collections, tax, mergers/acquisitions, international consignment sales, joint ventures, and real estate. Represented local hospital in corporate, board, and administrative matters. General experience with securities, corporate formation, books and records, and representation of public companies. Managed insurance, loan documentation, and real estate closings.
??? Handled collection matters for local consumer credit agency; ensured $1m in outstanding debt was repaid without resorting to hearings.
??? Supported negotiations and assisted in drafting terms for $1B energy project in China.
??? Lead negotiations and document drafting for acquisition of a pharmaceutical concern valued at over $25M.
??? Supported a boxboard joint venture between a US company and Chinese firm, spearheading successful attainment of proposal agreements in 3 months, which resulted in the successful closing of a $24M deal.
??? Supported a successful bond issue for a local government entity, and private placement financing for a redevelopment project.
??? Responsible for corporate, individual, and not-for-profit tax matters including preparation, filing, research, and IRS negotiations....
Education
International Management
How would you describe your time at Thunderbird Garvin School o...?
Masters of Business Administration program
Law
How would you describe your time at Creighton University School...?
Juris Doctor
Political Science
How would you describe your time at creighton university?
BA
William's Network
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