Chief Compliance, Legal, and Technology Officer
Charlton directs our compliance and technology programs and is a general resource on regulatory and legal matters. Charlton has extensive experience in securities regulation and law.
Before joining Obermeyer Wood, he founded C.A. Rugg Advisory Services LLC, a Denver-based private law practice providing representation and advice on regulatory and business matters. Previous positions include serving as senior counsel in FINRA’s Enforcement Department, as an assistant U.S. attorney in the District of New Jersey’s U.S. Attorney’s Office, and as an associate at Simpson Thacher & Bartlett LLP in New York City. Charlton is a graduate of the University of Colorado School of Law and received his undergraduate degree in philosophy from Brown University.firstname.lastname@example.org