Carr Butterfield, LLC is committed to ensuring the future success of the independent investment advisors and investment professionals we serve. Our law firm specializes in legal and compliance issues facing investment advisors, we provide our clients knowledgeable, personalized and proactive services.
We currently serve over 200 investment advisory firms ranging from large SEC based investment advisory firms to state—based solo operations. Unlike many law firms which have little relevant experience, we specialize in a broad range of compliance, litigation defense and regulatory issues facing today's registered investment advisors and financial professionals.
You will discover our services differ greatly from the large impersonal compliance consulting companies which rarely provide services catered to your particular needs. Instead of your main contact being non—attorney staff persons, at Carr Schwartz Butterfield, LLC you work directly with attorneys who have years of experience with RIA regulatory compliance issues.
Let us assist you with your specialized needs and help ensure your success. Learn more about our attorney backgrounds below, or visit us at www.carrbutterfield.com.
Mr. Carr represents investment professionals in cases before the Circuit Courts for the State of Oregon, the United States District Court for the District of Oregon, SEC, NASD, CFP Board of Standards, and regulatory bodies for the States of Oregon, Washington, and Idaho. Mr. Carr is experienced in matters related to claims defense, licensing, professional discipline, regulatory violations, audit compliance, and structuring. Mr. Carr is a member of the Oregon State Bar, Washington State Bar, US District Court for the District of Oregon, the Ninth Circuit Court of Appeals, and Oregon State Bar Securities and Business Sections.
Mr. Carr is a graduate of Pacific Lutheran University where he was president of the Student Senate and interned for U.S. Senator Mark O. Hatfield. Mr. Carr earned his law degree from Willamette University's College of Law where he was an active member of the Moot Court Board and received a Certificate of Dispute Resolution. Mr. Carr is the current director of Government and Regulatory Affairs for the Oregon and Southwest Washington chapter of the Financial Planning Association, and was recently appointed to the Financial Planning Association's National Government Relations Committee.
Ms. Barber brings several years of investment advisory experience, most recently as an investment consultant and Director of SEC Compliance for a SEC Registered Investment Advisor. Prior to her work in the investment advisory world, Ms. Barber spent almost ten years working for Fortune 500 companies in the area of real estate leasing, marketing, valuations, and acquisitions, including serving as Contracts Administrator and Acquisitions Trade Manager for a local financial services organization. Prior to joining Carr Butterfield, Ms. Barber also held her Series 65 License as well as a real estate broker's license. She is currently a member of the Oregon State Bar. Ms. Barber obtained her undergraduate degree from the University of Oregon, and earned her law degree and federal tax law certificate from Lewis and Clark Law School. She is also an avid runner and 9-year participant in Portland's Hood to Coast.
Ms. Butterfield's litigation experience began as a law clerk in the securities litigation department of a large New York law firm. Subsequently, as a third—year law student, Ms. Butterfield served a one—year judicial clerkship for the (now—deceased) Honorable Stephen B. Herrell, Multnomah County Circuit Court of Oregon. This judicial clerkship introduced Ms. Butterfield to the full range of Oregon state court practices. In 1991, Ms. Butterfield graduated from Willamette University, College of Law.
Subsequently, Ms. Butterfield joined a local insurance defense firm and from there developed her defense litigation practice, with a particular focus on professional and municipal liability, and employment law matters. Ms. Butterfield also worked in the Guam office of a large Honolulu—based firm, which predominantly served insurance companies and banking financial institutions in the Western Pacific region. While in Guam, Ms. Butterfield also served as lead local trial attorney for commercial litigation, employment disputes, and insurance defense matters litigated in the local (territorial) and United States federal courts. While on the Island of Guam, Ms. Butterfield's practice included complex tax litigation, bankruptcy litigation, construction litigation, foreclosure proceedings, consumer fraud, and maritime/ admiralty matters. Ms. Butterfield also managed large cases involving white—collar criminal allegations and employment disputes.
With sixteen years of litigation experience, Ms. Butterfield has represented multinational corporations and small, emerging entities in state and federal courts throughout Oregon, with a particular focus on commercial and insurance litigation. These matters included the litigation of the defense and indemnity obligations of insurers.
Ms. Butterfield's most recent litigation experience includes a wide variety of complex business litigation matters, including breach of contract claims, business torts, copyright/trademark infringement, construction defect claims, legal ethics advice, professional malpractice defense, real property disputes and employment law.
“My client base and assets under management have grown significantly as my ability to secure new clients and transition existing clients from commission-based accounts to fee-based services has steadily risen over the years.”
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