Paul Caulfield Named Partner at Ruddy Gregory, PLLC; Brings Tech-Advisory Firm to Assist Clients Across Financial Services Sectors, Risk Management & Cybersecurity

Ruddy Gregory, PLLC is pleased to announce that Paul Caulfield has joined the firm as Partner. Mr. Caulfield will spearhead the expansion of Ruddy Gregory's Financial Regulation, Risk Management and Cybersecurity practice, bringing more than 20 years of in-house experience and deep expertise in related technologies.

Mr. Caulfield’s prior roles include chief risk officer, chief compliance officer and BSA (Bank Secrecy Act) officer at IDB Bank, overseeing U.S. and Latin America operations as the banking group grew assets to more than $12bn and entered Regional Bank Supervision; COO, chief legal officer and chief compliance officer for Third Bridge Group, one of the largest expert networks and providers of investment research, bolstering governance, risk, cybersecurity and compliance with deep concentrations across China, Hong Kong and India; and head of compliance for Citibank N.A’s Commercial Bank, as the global bank worked to meet heightened regulatory standards following the 2008 financial crisis.

“Paul brings a wealth of experience,” said Mark Ruddy, Managing Partner of Ruddy Gregory. “He’s held  executive positions across law, risk, operations and compliance and at times of extreme change and stress that are resonating with clients. It’s invaluable, his in-house perspective, as clients manage their own strategic initiatives and even crises.”

Mr. Caulfield, while serving Of Counsel to Ruddy Gregory, launched NYTA Partners, LLC, a tech-driven advisory firm, which will support his practice and the firm, developing and introducing new tools, designs, and models to assist clients better manage their most pressing risks. Rabt, NYTA Partners’ first product, delivers pre-loaded risk assessment, budgeting and training tools for heads of legal and compliance in their sectors. To date, NYTA Partners has launched Rabts for Broker Dealers, Registered Investment Advisory Firms, Cybersecurity and Investment Research/Expert Networks.

Mr. Caulfield, certified in Information Systems Security (CISSP), previously co-founded Fintel Technologies, Inc., where he co-developed a patented information-sharing platform to combat money laundering, terrorist financing, fraud and related crimes. Earlier in his career, he was featured in The New York Law Journal and The National Law Journal for founding a law practice that leveraged then-emerging technologies to counter traditional billing and law firm models servicing clients across financial services. He began his career in the Manhattan District Attorney’s Office.

"Years ago with just a laptop, encrypted flash drive and since-acquired technology, I started a legal practice that got everyone’s attention,” Mr. Caulfield noted. “I offered rates that didn’t drive clients insane and used technology – while today, near-ubiquitous – was both flexible and responsive to client needs. Since that time Mark has been building his impressive firm with similar goals. I feel like a kid in a candy store to be offering these services again, this time with Mark, all of Ruddy Gregory and the ingenuity and drive from the growing team at NYTA.” 

Mr. Caulfield’s legal practice includes foreign banking organizations (FBOs); large, regional, and community banks; asset and alternative investment management firms; and global service providers in fintech. His work has spanned Latin America, Israel, China, Hong Kong SAR, and India, with a growing focus on large language models (LLMs), artificial intelligence (AI), data encryption, and blockchain technology. In addition to his work in private practice, Mr. Caulfield is currently an adjunct professor at Fordham University School of Law where he teaches a course on Anti-Money Laundering & Effective Compliance Risk Management.

"Paul’s expertise and innovative approach to legal and compliance challenges make him an invaluable addition to our team,” Mr. Ruddy concluded. “We are all excited and look forward to the significant contributions he will make in expanding our Financial Regulation and Cybersecurity practices."

About Ruddy Gregory, PLLC

Ruddy Gregory, PLLC (“Ruddy Gregory”) is a boutique law firm with offices in Washington, DC, and Denver, CO. Ruddy Gregory provides niche-oriented advice with the highest quality of service to its core client base of privately held corporations and smaller brokerage and advisory firms. The firm provides specialized legal guidance and counsel to clients on matters relating to entity formation, digital assets and FinTech, mergers and acquisitions, real property transactions, and other general corporate transactions.

Ruddy Gregory also provides legal advice to registered investment advisers, commodity futures registrants (IBs, FCMs, CPOs, and CTAs), hedge funds, and other members of the alternative investment community. Ruddy Gregory assists clients with initial and ongoing regulatory needs associated with the National Futures Association (“NFA”), Commodity Futures Trading Commission (“CFTC”), Securities and Exchange Commission (“SEC”), Federal Energy Regulatory Commission (“FERC”), as well as other federal and state regulatory agencies. Since our inception in 2001, we have proudly offered these services and continue to serve as legal counsel to futures commission merchants, larger investment firms, entrepreneurs from diverse industries, private equity funds, and venture capitalists. Ruddy Gregory also offers related business litigation services, including representation throughout civil and criminal proceedings and regulatory investigations.

About NY|TA Partners, LLC

NY|TA Partners, LLC is a New York-based, tech-driven advisory firm. It assists heads founders, boards of directors and heads of legal and compliance by building on mandated federal, state, and international program requirements while introducing new tools, systems, and applications to maintain safety and soundness, reduce attack surfaces, and support firm-wide strategic initiatives in an age of evolving, advancing, and pervasive threats and new and heightened regulatory requirements worldwide.

For more information, please visit www.ruddylaw.com or contact Ruddy Gregory, PPLLC.