Sam Miller

Senior Counsel

New York Office

Sam Scott Miller, senior counsel in the New York office, serves as Chairman of the Market Regulation Group.  He concentrates his practice in the regulation of financial intermediaries.

The following are representative transactions for the Market Regulation Group:

  • International Securities Exchange.  Mr. Miller, and members of the group, acted as counsel to the International Securities Exchange in its registration with the SEC - the first such new exchange in twenty-five years.
  • Charles Schwab & Co. and Off Road Capital.  The group has been in the forefront of electronic brokerage services, including representing Schwab petitioning the SEC for a structural overhaul of the market-data regime, and assisting Off Road Capital in setting up a marketplace for private securities.
  • Citicorp, J.P. Morgan and Chase H & Q.  Mr. Miller and members of the group have recently been counseling financial institutions such as Citicorp, J.P. Morgan, Chase H & Q, and another leading global bank in their transition under Gramm-Leach-Bliley.

Prior to joining the firm, Mr. Miller was vice president and general counsel of the PaineWebber Group from 1974 to 1987.