Randolph F. Pistor

Of Counsel

Randy Pistor is an experienced securities attorney focusing on broker-dealer and investment adviser regulation, 1934 Act reporting, federal securities law, state blue sky law, and general corporate law and governance.  Randy advises businesses, asset managers, investment advisers, and broker-dealers on a variety of securities and corporate law matters to assist them with successfully and ethically navigating an ever-expanding regulatory environment.  He also counsels issuers in public and private securities offerings, helping them meet their capital formation objectives. 

 

Prior to joining Dickinson Wright, Randy spent over nine years as the sole in-house attorney for a group of affiliated financial services companies located in Ann Arbor, Michigan, including two mid-sized retail broker-dealers as well as an SEC-registered investment adviser for which he served as the chief compliance officer.  In these hands-on roles, Randy provided leadership and insight on a broad range of legal and compliance matters, including product due diligence, anti-money laundering, and cybersecurity, client privacy and identity theft prevention, contract drafting and negotiation, administering and implementing firm-wide policies and procedures, monitoring regulatory developments and enforcement trends, responding to regulatory exams and investigations, and preparing various FINRA and SEC filings. 

 

Before working as an in-house attorney, Randy was previously an associate in Dickinson Wright’s Corporate, M&A and Securities practice group.  He graduated from the University of Michigan Law School and is licensed to practice in the State of Michigan.  Randy also holds the Chartered Financial Analyst designation and previously held various Michigan insurance and FINRA licenses (Series 4, 7, 24, 27, 53, 66). 

 

Education & Credentials

Education

University of Michigan

B.S., Pure Mathematics & English Literature, 2005
  • Graduated with High Honors
  • James B. Angell Scholar
  • Dean’s List

University of Michigan

M.S., Finance, 2007
  • Honor Scholar Award

University of Michigan

J.D., 2012
  • Cum Laude

  •  Honors in Legal Practice research and writing

CFA Institute

2011
  • Chartered Financial Analyst

Bar Admission

  • Michigan

Acknowledgements

  • 2011 Annual Scholarship Award from the Real Property Law Section of the State Bar of Michigan

Prominent Assignments

  • Experience providing broker-dealers and investment advisers with regulatory and compliance guidance regarding new SEC and FINRA rules
  • Experience assisting publicly-traded companies with preparing regular ’34 Act filings and compliance, including Quarterly and Current Reports on Forms 10-Q and 8-K
  • Experience assisting domestic shareholders with Section 13(d) and Section 16 compliance, including Form 4 and Schedule 13D filings
  • Experience assisting companies with preparation of private placement memoranda in connection with exempt security offerings
  • Experience assisting owners with the formation of LLCs and drafting and/or amending LLC operating agreements

Professional Involvement

  • State Bar of Michigan – Member
  • CFA Society Detroit – Member

Community Involvement

  • Member of Keystone Church in Saline, Michigan

Court Admissions

Michigan State Court

Publications/Presentations

  • Co-Author, " New Disclosure Requirements for the 2023 Proxy Season," Dickinson Wright Client Alert (October 2022) 
  • Contributor, “Administrative Law: 2011 Survey,” The Wayne Law Review (Fall 2011).
  • Author, “Common Law and Statutory Name Changes in the State of Michigan,” Michigan Family Law Journal (December 2010).
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