FacultyFaculty/Author Profile
Ralph DeSena

Ralph DeSena

Royal Bank of Canada
Director & Senior Counsel
New York, NY, USA

Ralph DeSena is Director & Senior Counsel at the Royal Bank of Canada, which is currently the eleventh largest bank in the world by market capitalization, with more than 74,000 employees serving 15 million clients globally. Ralph is responsible for managing all U.S. regulatory investigations and civil litigations and arbitrations involving RBC's Capital Markets platform. Ralph also has been the chair of SIFMA's Litigation Advisory Committee since 2010 and a member since 2007.

Prior to joining RBC in May 2005, Ralph was a litigator at Morgan Stanley, where he handled litigation, arbitration and regulatory investigations for the individual investor, institutional securities and investment management divisions. He also was heavily involved in the SEC-mandated "top-to-bottom" review of conflicts and business practices, which achieved a major shift in the firm's regulatory strategy. In private practice prior to going in-house, Ralph was a litigation associate in the New York offices of King & Spalding LLP and Rogers & Wells (now Clifford Chance LLP), where his practice focused on securities and antitrust cases. He began his legal career clerking for the Honorable Stewart Dalzell, a federal district court judge in Philadelphia. Ralph graduated from UCLA School of Law in 1994 and received his Bachelor of Arts degree, summa cum laude, from Boston College in 1991.

Ralph is a regular speaker on broker-dealer regulatory enforcement issues, including at the last several SIFMA annual conferences. He recently co-authored "Trio of Second Circuit Decisions Clarifies FINRA Arbitrability," 44 Securities Regulation & Law Report 374 (Feb. 20, 2012).

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