David Ellis
About David Ellis
David Ellis serves as the Managing Director and Chief Counsel Equities at Piper Sandler, a role he has held since 2021. He has extensive legal experience, having previously worked in various legal and compliance positions at firms such as Sanford C. Bernstein, Citigroup, and Tower Research Capital.
Current Role at Piper Sandler
David Ellis serves as the Managing Director and Chief Counsel for Equities at Piper Sandler. He has held this position since 2021, contributing to the firm's legal and compliance framework in Greenwich, Connecticut. His role involves overseeing legal matters related to equity transactions and ensuring compliance with regulatory standards.
Previous Experience at Sanford C. Bernstein
Before joining Piper Sandler, David Ellis worked at Sanford C. Bernstein as the Head of Legal and Compliance from 2008 to 2014. During his six years in this role, he was responsible for managing legal risks and compliance issues within the firm, enhancing its operational integrity.
Legal Career Background
David Ellis has a diverse legal career spanning various prestigious firms and roles. He worked as Counsel at Citigroup from 2006 to 2008 and served as Head of International Legal at Tower Research Capital from 2014 to 2021. His experience also includes positions at Freshfields Bruckhaus Deringer and Sullivan & Cromwell LLP, where he practiced as an Associate.
Education and Qualifications
David Ellis earned his Juris Doctor (JD) from New York University School of Law, completing his studies from 1995 to 1998. He also holds a Bachelor of Science degree in Finance, Accounting, and History from NYU Stern School of Business, which he obtained between 1990 and 1994. His educational background provides a strong foundation for his legal expertise in finance and compliance.
Clerkship and Early Career
David Ellis began his legal career as a Law Clerk for the U.S. Court of Appeals for the Fourth Circuit from 1998 to 1999. He also gained experience as a Summer Associate at Debevoise & Plimpton in 1997. His early career included a role as an Audit Senior Associate at Arthur Andersen & Co. from 1994 to 1995, which contributed to his understanding of financial regulations.