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Joan P. Hugues, Paralegal

New York City (NYC) Paralegal Joan P. Hugues | Manhattan

P: (516) 222-0888 Ex. 144

F: (516) 222-0948

New York City (NYC) Paralegal Joan P. Hugues | Manhattan Download vCard

jhugues@lehmaneilen.com

New York City (NYC) Paralegal Joan P. Hugues | Manhattan

p: 516-222-0888 Ex. 144
f: 516-222-0948
vCard
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Biography

Joan began her career with Lehman & Eilen in 1998 as a legal assistant before training to be a paralegal. Joan is involved in all facets of the firm’s practice.

Joan’s work focuses on registrations and applications with the SEC, FINRA, state securities commissions and securities exchanges, assisting with daily compliance issues and procedures, and researching a variety of issues. She has extensive experience in matters as diverse as electronic filings through FINRA Gateway systems, such as Membership (Form NMA, CMA, MATCON), Web CRD (Form BD, Form BDW, Forms U4 and U5, Form BR) and Financial Notifications (Rule17a-11 notices, electronic storage media), Web IARD and EDGAR, forming limited liability companies, limited partnerships and corporations, drafting written supervisory and compliance procedures, and assisting with regulatory inquires. Joan works with the firm’s broker-dealer, investment advisory and issuer clients.

While at the firm, Joan has developed working relationships with the Staff at regulatory and self-regulatory organizations that enable her to swiftly meet clients’ needs.

Joan received an Executive Secretary/Computer Technician Diploma from Briarcliffe College in June 1993.

Outside of the firm, Joan’s perseverance contributed to the enactment of “JT’s Law” (Child Food Choking Prevention Act) in April 2008 by the New York State legislature.  JT’s Law is named after Joan’s godson who passed away from choking on a hot dog.  JT’s Law provides resources to the public to educate, prevent and, if necessary, combat a child food choking event. Information resulting from JT’s Law is available here.




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