Alan Rafterman is a Senior Counsel in the Wells Fargo Litigation Group. Since 2008, he has been representing Financial Advisors and the Firm, as well as overseeing outside counsel in predominately sales practice arbitrations before FINRA. In addition to his litigation responsibilities Alan has partnered with the Subpoena and Garnishment Unit providing legal advice and assisted in several regulatory investigations. Alan has also been invited to communicate with the field on hot topics in securities law and offering advice to Financial Advisors as to how they can protect their practices. Prior to coming to Wells Fargo, Alan was part of Merrill Lynch’s National Arbitration Practice Group for five years where he represented registered representatives and Merrill Lynch in sales practice arbitrations and in connection with State and other regulatory investigations. In addition to his work in the securities field, in private practice he has represented clients in various commercial litigation matters before State and Federal courts. Prior to entering private practice, Alan was an Assistant District Attorney for the Bronx District Attorney’s Office and clerked for Judge Bernard Newman in the United States District Court for the Southern District of New York. He earned a J.D. from Fordham University School of Law and a BA from the State University of New York at Albany.