FacultyFaculty/Author Profile

James P. Huang

Prudential Financial, Inc.
Vice President & Corporate Counsel
Newark, NJ, USA


James Huang is a Vice President and Corporate Counsel in the Prudential Law Department.  He advises Prudential’s retail broker/dealer and investment adviser on a broad range of securities law issues, including matters that involve wrap fee programs, sales to retirement plans, trading, and sales practice concerns related to securities and variable insurance products.

Additionally, James has experience in advising broker/dealers and investment advisers on product design, mergers and acquisitions of registered entities, distribution and wholesaling arrangements, cash and non-cash compensation, and regulatory inquiries.  He also has experience in drafting selling agreements, compliance policies and procedures, client disclosures and agreements, and settlement offers.

Prior to joining Prudential, James was a Senior Counsel in the Broker-Dealer/Investment Adviser Unit of the MetLife Law Department and an Assistant Corporate Counsel and Compliance Officer at the Marsh & McLennan Companies.  James has served as a speaker and a moderator on discussion panels, including those sponsored by the Practicing Law Institute and the Money Management Institute.  James is a member of the New York and Massachusetts Bars, is an active member of the Money Management Institute Legal and Compliance Steering Committee, and has his Series 7, 24 and 66 securities registrations.  He is a graduate of the New England School of Law in Boston, where he was a Jacqueline Lloyd Scholar and an editor of the New England Law Review, and New York University, where he earned his B.A. in Politics.

James P. Huang is associated with the following items:
Live Seminar  Live Seminar Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
Live Webcast  Live Webcast Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Mechanicsburg, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Pittsburgh, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Philadelphia, PA
Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 07, 2018, Nashville, TN
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