Mr. Brian G. Cartwright

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  www.treasuryandrisk.com/Newsletters/Pages/05-06-2008.as - [Cached Version]
  Published on: 5/6/2008    Last Visited: 8/16/2008  

  In a speech at a meeting of the American Bar Association last month, SEC general counsel Brian Cartwright predicted that just such a proposal would be released "in the near future."
  
  Implementation will likely be phased in over two years.

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  www.funddirections.com/printer.asp?iss=23178&sid=668640 - [Cached Version]
  Published on: 12/21/2006    Last Visited: 1/5/2007  

  While good independent directors are essential, the industry and regulators need to be careful not to have unrealistic expectations about what even the best independent directors can achieve, Securities and Exchange Commission General Counsel Brian Cartwright recently told an audience of fund directors.The work of independent directors is part-time and independent directors are rarely on-site at the fund complex, he explained."These inherent limitations of your role make it even more extraordinarily challenging," he added.
  
  Cartwright stressed the importance of boards working effectively as a team."Given the tall task independent directors face, investors are poorly represented by a strutting prima donna on the board, or by factions working at cross purposes behind the scenes, leading to a dysfunctional board environment," he said.

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  www.lw.com/News.aspx?page=FirmNewsDetail&channelpost=16 - [Cached Version]
  Published on: 9/22/2009    Last Visited: 10/2/2009  

  Latham & Watkins LLPÂ is pleased to announce that Brian G. Cartwright has rejoined the firm as Senior Advisor. He will maintain offices in both Los Angeles and Washington, D.C. while working with Latham & Watkins lawyers throughout the firm globally.Cartwright served as General Counsel of the US Securities and Exchange Commission (SEC) for three years, following a 23-year career at Latham & Watkins. As SEC General Counsel, Cartwright was responsible for counseling the Commission on all matters brought before it, including every enforcement action and every rulemaking. Cartwright also oversaw all cases litigated by the SEC in the United States Courts of Appeals and advised on all adjudications appealed to the Commission.

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  www.capitalchangeswatch.net/securitiesLaw/news/06-16-06 - [Cached Version]
  Published on: 6/16/2006    Last Visited: 7/6/2007  

  SEC General Counsel Brian Cartwright, speaking at the celebration of the establishment of the Arthur and Toni Rembi Rock Center for Corporate Governance at Stanford University, noted that the ground is shifting in corporate governance as more companies adopt majority vote requirements for directors.It is no longer rare for a shareholder proposal to receive a majority of votes, he added.These changes raise new questions, including whether it is time to examine the governance of the intermediaries whose power has grown significantly in recent years.Cartwright cited a report finding that the 100 largest money managers in the U.S. now hold 58% of all stocks.It may be time to question whether these intermediaries are sufficiently faithful to the interests they represent, according to Cartwright, including ordinary Americans with pension plans and interests in mutual funds.
  
  Cartwright raised the possibility that this increasing influence by intermediaries is shifting away from corporations just as they are beginning to improve their corporate governance.If public corporations, which are the engines of the economy, are to be governed by increasingly powerful intermediary institutions, Cartwright pondered the impact of this increasingly concentrated economic power.He suggested the time is right to focus on intermediaries' organization and conduct to ensure that U.S. investors are protected.
  
  Cartwright said that among the areas to explore is the safeguards that are in place to ensure that the managers of these intermediary institutions act in the interests of the individuals they represent rather than following their own agendas, which may be unrelated to the interests of those whose assets they manage.Cartwright questioned the level of accountability and transparency to which the intermediaries should be subject.He also pondered whether individual investors could end up worse off given that the intermediaries may not be subject to the rigors of market competition that influence the behavior of public companies.Could it be that the battlefield has shifted, he asked, but the struggle with agency costs and conflicts of interest has simply moved to another level?

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  www.johnlothiannewsletter.com/phpbb/viewtopic.php?p=130 - [Cached Version]
  Published on: 12/6/2005    Last Visited: 11/19/2007  

  Dec. 6 (Bloomberg) -- U.S. Securities and Exchange Commission Chairman Christopher Cox plans to name Brian Cartwright, a partner at Latham & Watkins, as the agency's chief legal officer, people with direct knowledge of the matter said. http://www.bloomberg.com/apps/news?pid=10000103&sid=a1k2dm4snoUM

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  www.candelasolutions.com/n-news/article.asp?id=59 - [Cached Version]
  Published on: 12/2/2008    Last Visited: 12/3/2008  

  That was followed by Brian Cartwright, general counsel, and Alexander Cohen, deputy chief of staff, both in the past two weeks.
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  Cartwright led the SEC's legal team through a busy three years. He helped shape major policy and regulatory initiatives and counseled the SEC on enforcement actions, rulemakings, appellate briefs and adjudications.

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  www.directors.org/Brian_Cartwright2002bio.html - [Cached Version]
  Published on: 1/1/2002    Last Visited: 3/27/2007  

  Brian G. Cartwright, Ph.D., Esq.,
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  Brian G. Cartwright is a partner in the firm's Los Angeles office.He has practiced with the firm since 1982.His practice chiefly concerns securities matters for public companies and matters of corporate finance for a wide variety of clients, and includes public offerings and private placements of debt and equity.He has handled matters ranging from venture capital to billion - dollar transactions.Dr. Cartwright has served as a member of the firm's Executive Committee and currently serves as firmwide chair of the firm's Company Representation Practice Group.
  
  Dr. Cartwright is a member of the America, Los Angeles County and Century City Bar Associations.Dr. Cartwright served as law clerk to Associate Justice Sandra Day O'Conner of the United States Supreme Court from 1981 to 1982 and to Hon. Malcolm R. Wilkey of the U.S. Court of Appeals, District of Columbia Circuit from 1980 to 1981.
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  Prior to practicing law, Dr. Cartwright received his Ph.D. in physics in 1971 from the University of Chicago where he was a post-doctoral fellow.From 1973 to 1977, he was a research physicist at the Department of Physics and Space Sciences Laboratory of the University of California, Berkeley.While working as an astrophysicist, Dr. Cartwright published over 20 articles in scholarly journals, such as The Astrophysical Journal.

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  www.rcaonline.org/news/01022006/news_cartwright.html - [Cached Version]
  Published on: 1/3/2006    Last Visited: 2/23/2006  

  Brian Cartwright Named SEC General Counsel
  
  FOR IMMEDIATE RELEASE2006-1
  
  Washington, D.C., Jan. 3, 2006 - Top securities lawyer and former astrophysicist Brian G. Cartwright will join the Securities and Exchange Commission as its General Counsel, Chairman Christopher Cox announced today.
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  Mr. Cartwright will succeed Giovanni Prezioso, who was appointed in April 2002.
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  "Brian Cartwright will be a relentless and powerful champion for investors, and will continue the SEC's tradition of exceptional professionalism.His talent, tenacity, and insight will serve the Commission, the capital markets, and investors well."Mr. Cartwright, 58, is a partner in the international law firm of Latham & Watkins, and one of the nation's foremost securities law practitioners.He also brings significant managerial experience to the 3,800-employee SEC.Among other management positions at Latham & Watkins, Mr. Cartwright served as Global Chair of the firm's practice representing public companies.As a member of the firm's Executive Committee, he was one of five partners responsible for the management of the firm as a whole.
  
  He began his legal career in 1980 after earning a J.D. from Harvard Law School, where he was President of the Harvard Law Review and winner of the Sears Prize.
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  "I look forward to working with Chairman Cox to make sure investors are getting the complete, clear and comprehensible information they need to make prudent investment decisions-whenever possible in a convenient and user-friendly form over the internet," Mr. Cartwright said."I'm also proud to be joining in the work of the SEC's energetic and dedicated Commissioners and staff in bringing to justice those who abuse investors' trust.By zealously protecting the interests of individual investors, the SEC also ensures the continued strength and dynamism of our nation's capital markets."
  
  Mr. Cartwright will join the Commission on Jan. 23, 2006, and will work closely with the departing General Counsel to ensure a seamless transition.

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  www.directorship.com/vollmer-named-acting-general-c - [Cached Version]
  Published on: 2/24/2009    Last Visited: 2/24/2009  

  The Securities and Exchange Commission appointed Andrew N. Vollmer as acting general counsel to succeed Brian Cartwright, who left the agency this week to return to the private sector.

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  www.undiplomatic.net/2009/04/15/harold-koh-the-company- - [Cached Version]
  Published on: 4/15/2009    Last Visited: 10/18/2009  

  Brian G. Cartwright, former General Counsel, Securities and Exchange Commission (Bush Administration).

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