Vice President & Associate General Counsel
Eric Chartan is an Associate General Counsel at HD Vest Financial Services®. In this capacity, he provides executive management with substantive legal advice on a broad range of complex matters affecting the company with a focus on broker-dealer and investment adviser regulation and general corporate matters. Mr. Chartan represents the company by handling customer complaints, litigation and arbitration matters, and regulatory inquiries and enforcement matters brought by securities regulators. He also works with company personnel in multiple departments to provide legal advice regarding compliance and operational matters, as well as regulatory policies and issues that affect the current or planned operations of the company. He is actively involved in a variety of the company’s strategic initiatives and serves in an advisory capacity on the company’s product review committee, risk oversight committee, information security steering committee, regulatory reporting committee and investment advisory committee. Prior to joining HD Vest Financial Services, Mr. Chartan represented clients throughout all stages of complex commercial litigation matters. Before entering private practice, he served as a white-collar criminal prosecutor in the Bronx County District Attorney’s Office in New York City. Mr. Chartan earned his Juris Doctor from the Benjamin N. Cardozo School of Law, Yeshiva University and his Bachelor of Arts from the University of Vermont, with Phi Beta Kappa honors.