Our Attorneys

Craig Hughes

Craig Hughes

Senior Counsel / San Francisco

Practice Areas

Bar Admissions

California, 1984
U.S. District Courts, Various


University of San Francisco, B.A., English and Business
University of San Francisco School of Law, J.D.

Craig is senior counsel to the firm, and brings over 35 years of legal, regulatory, and securities-industry compliance experience to the position. He has practiced law periodically with Dave Markun, Ed Zusman, and Jeff Compton for many years, beginning when he met Dave at a national insurance defense firm in 1990. Craig’s previous professional experience includes serving as the chief compliance officer of a registered investment adviser and as a compliance director at Charles Schwab & Co., Inc., where he managed regulatory examinations and supported investment adviser and broker-dealer functions, and held FINRA Series 7 and Series 24 licenses. It also includes working as an enforcement attorney in the San Francisco Regional Office of the U.S. Securities and Exchange Commission where he brought cases for securities fraud. Craig assists investment management clients with preparing regulatory filings such as Form ADV, Form CRS, and Form BD. He also drafts advisory services agreements and employment contracts, codes of ethics, and supervisory procedures and compliance manuals. He helps clients respond to regulatory inquiries and exams, and defends clients in regulatory investigations and enforcement actions. He is also highly experienced in defending firms and their personnel in customer complaint disputes, litigation, and class actions in arbitration fora and civil courts. His other area of focus is commercial and breach of contract litigation. Craig holds the Investment Adviser Certified Compliance Professional designation.

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