Mr. Duffy has over 20 years' experience as a litigator in state and federal courts, and has served as in house counsel in for several financial institutions.

He has extensive experience in corporate (including formations and capital raising), securities and commodities regulatory work, bankruptcy (including foreclosure matters), criminal and employment (including immigration) matters. Mr. Duffy has also handled hundreds of Financial Industry Regulatory Authority ("FINRA") arbitrations and has tried nearly 50 such matters to decision.

Mr. Duffy served as an enforcement attorney and litigator for the United States Securities and Exchange Commission, Division of Enforcement, New York City. Mr. Duffy has been a litigation and regulatory attorney with Merrill Lynch and has served as the General Counsel or Chief Compliance Officer of several large private fund complexes. He has served a panel member for the NYSE Disciplinary Board.

Mr. Duffy clerked for the Honorable Stanley Sporkin of the United States District Court for the District of Columbia and for the Criminal Court of the City of New York.

Mr. Duffy obtained his Juris Doctorate degree from Fordham University School of Law in 1991.

Mr. Duffy is admitted to practice law in New York and Connecticut.