Charles C. Zitzmann
Charles uniquely brings over two decades of combined legal and executive-level operational experience at leaders in the aerospace and defense, financial services, and legal industries. As Of Counsel to Goolsby, Proctor, Nelson & Lee (the “Firm”), he deploys that experience in advising board and executive leadership on making defensible, executable decisions where regulatory requirements, legal obligations, operational realities, and institutional risks collide.
Immediately prior to joining the Firm, Charles strategically eliminated vendor-contract dependencies that, at the 11th hour, imperiled the $55 billion sale of Credit Suisse’s (“CS”) securitized products origination, sales, and trading business to Apollo Global Management. Earlier in his tenure at CS, he resolved more than 450 regulatory inquiries and investigations – either closed with no further action or rendered inactive without penalty – brought against CS’ fixed-income and equities trading desks by the SEC, FINRA, CFTC, NFA, CME, Cboe, and NYSE. As in-house counsel to an alternative strategy hedge fund, Charles secured a 99% reduction of the SEC’s $56 million demand in an administrative proceeding alleging Class 3 asset valuation manipulation – a forum in which respondents rarely prevail.
In these and many other matters, Charles has been relied upon to make judgment calls in environments where regulatory scrutiny is constant, options are limited, and decisions carry immediate and durable consequences for institutions and their leadership.
Prior to building his legal and operational executive career, Charles served in the United States Air Force as an acquisition management/cost and economic analysis officer. At the Air Force Cost Analysis Agency, he informed the Deputy Secretary of the Air Force for Cost and Economics and, on occasion, the Secretary of Defense, of the cost-benefit analyses for various space system acquisition programs. At the Reconnaissance Systems Program Office at Wright-Patterson Air Force Base, OH, he modeled the costs for the USAF production and operation of the Global Hawk unmanned aerial vehicle system following its transfer from the Defense Advanced Research Projects Agency (DARPA).
Education
LL.M., Financial Services Law – New York Law School
J.D. – The George Washington University Law School
M.S., Acquisition Management/Cost & Economic Analysis – U.S. Air Force Institute of Technology, Graduate School of Engineering & Management
B.S., Legal Studies – U.S. Air Force Academy
Practice Areas
Financial Institutions Litigation & Regulatory Investigations – focusing on Community Banks, Credit Unions, & Wealth Managers
Insurance Defense & Coverage – D&O, Cyber, & Fidelity Liability
Transactional Risk & Insurance Advisory – M&A Representations & Warranties, Structured Finance
Insurance Provider Corporate & Regulatory Advisory
Government Contract & Procurement – focusing on Bidding, Negotiation, Compliance, & Disputes
Corporate Governance & Board Advisory
Vendor & Third-Party Risk/Operational Advisory
Small Business/Start-up Advisory – notably, WealthTech, RegTech, InsurTech, & LegalTech
Arbitration & Alternative Dispute Resolution
Organizations, Honors & Certifications
Arbitration
Non-Public Arbitrator, FINRA
Arbitrator, National Futures Association
Certifications & Professional Education
Certified Regulatory Vendor Program Manager (Level I), Compliance Education Institute
Legal Operations Certification, CLOC Academy (Level 100; Level 200 – Strategic Planning)
Certified Commercial Contracts Manager (In Progress), NCMA
Certified Federal Contracts Manager (In Progress), NCMA
Certificate in Private Company Governance, Private Directors Association
Private Equity Company Governance, Private Directors Association
ESOP Governance Essentials, Private Directors Association
Certified Operating Partner in Private Equity (In Progress), VCI Institute
Certificate in Fundamentals of Alternative Investments, CAIA Association
Registered Professional Liability Underwriter+ (In Progress)
Certificate in the Business of Insurance, St. John’s University
Other Licenses
New York State Licensed Real Estate Broker
Admissions
The Supreme Court of the United States
U.S. Courts of Appeals
Second Circuit (Pending)
Tenth Circuit (Pending)
U.S. District Courts
Eastern & Southern Districts of New York
Northern District of Oklahoma
Eastern & Western Districts of Oklahoma (Pending)
State Bars
New York
Oklahoma
Tribal Nation Bar Associations
Cherokee Nation
Chickasaw Nation
Choctaw Nation of Oklahoma
Citizen Potawatomi Nation (Pending)
Muscogee (Creek) Nation
Osage Nation
