Allan Chua

BAR ADMISSION: Admitted to practice law in the State of North Carolina


LPLFinancial, Charlotte, NC                                                                                                                                                      May 2015- Present

Compliance Specialist, Regulatory Response Group

·          Prepare document productions requested by FINRA, the SEC and State securities regulators for arbitrations, inquiries and exams. 

·          Work with legal and compliance to develop internal policies interpreting FINRA Notice to Members 11-17 regarding the scope of                             FINRA requests for arbitrations.

·          Work closely with groups in the Governance, Risk and Compliance Department of LPL to create uniform processes of producing compliance            documents to legal for submission for regulatory and litigation matters.

·          Create forms and procedures to standardize processes run by both legal and compliance departments.

·          Create systems and research grids to simplify the document production process.

·          Maintain a database of contacts within LPL who are responsible for processes, documents and databases commonly requested by legal for            litigation or arbitration matters.

·          Test and evaluate procedures for document production submitted to the Regulatory Response Group to prepare for formal adoption of the               procedures.

·          Manage workflow and track matters for a team of 10 compliance analysts.

J.C. Properties, Raleigh, NC                                                                                                                                                 August 2003 – Present

Real Estate Attorney (October 2014-Present)

Property Manager (2003-October 2014)

·          Review rental agreements.

·          Draft lease renewal and rent increase letters.

·          Draft notices of eviction and assist in the eviction process.

·          Review official correspondence with tenants, Department of Housing and Urban Development, and Raleigh Housing Authority.

·          Provide legal guidance and advice regarding filings in small claims court, collecting sums in arrears, duties to holdover tenants, premises               liability, and any other matter that may arise.


Legal Services of Southern Piedmont, Charlotte, NC                                                                                                        March 2015 – April 2015

Family Support and Healthcare Attorney: Charlotte School of Law Fellow

·          Provided legal advice to low-income clients regarding their rights pertaining to lawsuits dealing with health care expenses.

·          Provided legal advice to low-income clients regarding their rights to Food and Nutritional Services, Medicare and Medicaid.

·          Investigated NC Department of Social Services and Social Security Administration case files on behalf of clients.

·          Investigated NCDSS and SSA policies for violations of the Affordable Care Act and Federal Statutes.

·          Communicated with DSS Office of Consumer Affairs to achieve results for clients.

·          Attended and represented clients in local DSS hearings.  


Securities and Exchange Commission, Washington, D.C.                                                                                     September 2013 – December  2013

Honors Student Intern: Enforcement Division

·          Worked full time with a unit specializing in bringing enforcement actions against financial institutions, researched and drafted memoranda               regarding developments in securities law and accounting standards.

·          Made recommendations for disgorgement and bars on auditors and accountants practicing before the Commission.

·          Conducted investigations and researched in preparation for taking testimony of CEOs, CFOs, CAOs and other essential witnesses.

·          Participated in brainstorming meetings to prepare for testimony.

·          Created summaries of arguments in Well’s Submissions and crafted responses to those arguments.

·          Compiled and analyzed financial analyst reports from a Bloomburg Terminal and made recommendations to staff attorneys.

·          Conducted document review for investigations with Concordance and Recommind.


Charlotte School of Law Community Economic Development Entrepreneurship Clinic, Charlotte, NC                             January 2013 – May 2013 

Student Practitioner

·          Participated in a student-based program designed to assist companies with legal advice and advocacy to launch a business.

·          Worked with clients to develop legal strategies that addressed individual business needs.

·          Consulted clients on the benefits of different business structures.

·          Drafted operating agreements, Secretary of State filings, and contracts tailored to the needs of the businesses.

Tatum Law Firm, PLLC, Charlotte, NC                                                                                                                              May 2012 – January 2013

Legal Intern

·          Drafted various case summaries, memoranda, contracts and demand letters in real estate litigation matters.

·          Prepared requests for admission and production of documents, and interrogatories.

·          Reviewed pleadings, attorney correspondence, and recommended actions against borrowers, attorneys, lenders, and brokers.


Restaurant Savoy, Raleigh, NC                                                                                                                                         March 2008 –  April 2011

Sommelier/Bar Manager/Server                                                                     

·          Worked with distributors and winemakers to develop, maintain and evolve the restaurant’s wine list to reflect a seasonal menu and trends in            wine while keeping in mind regular clientele’s preference.



Juris Doctor, May 2014

Charlotte School of Law, Charlotte, North Carolina                                                                                                                                         

Top 10% of Class, Magna Cum Laude

GPA: 3.59 out of 4.0                                                                                                                                                                                             

Honors and Activities: Dean’s List (Fall 2011, Spring 2012, Fall 2012, Spring 2013, and Spring 2014); Honors Externship: Washington Consortium for Law Externships and Exchange; Order of the Crown; International Law Society; LGBT Legal Society; Susie Marshall Sharp Intra-school Moot Court Competition; Teaching Assistant: Real Estate Finance (Spring 2014).

Bachelor of Arts in English & Minor in Spanish, December 2005

North Carolina State University, Raleigh, North Carolina

Cum Laude

·   Study abroad at International University of Menendez Pelayo, Sevilla, Spain, May 2004.



·          Proficient with legal research software (Lexis Nexis; Lexis Advance; Westlaw; Westlaw Next; Ravel Law)

·          Experience with discovery review and case management software (Recommind; Concordance; Lexis Nexis Case Map; Documentum)

·          Researching and reviewing financial analyst reports (Bloomburg Terminal)

·          Researching Generally Accepted Accounting Principles and Generally Accepted Accounting Standards using Wolters Kluwer CCH                           Accounting Research Manager

·          Proficient in Microsoft Office Programs


Leadership and Service Roles:

Charlotte School of Law Alumni Board, Member                                                                                                              November 2015 – Present

·          Participate in board meetings.

·          Vote on organizational structure and goals.

·          Serve as a liaison to current and future alumni.


Time Out Youth, Volunteer                                                                                                                                                February 2013 – Present

·          Spend time with LGBT youth.

·          Participate and facilitate group discussions and activities.


South East Asian Coalition, Attorney Volunteer                                                                                                                     April2015 – May 2015

·          Attended a CLE for filling out N-400 forms and analyzing common legal issues when assisting in filing for citizenship.

·          Participate in naturalization clinics during SEAC’s Spring Naturalization Fair and analyze legal issues for applicants.


Light the Way to Justice, Community Organizer                                                                                                            February 2013 – March 2013

·          Organized a community gathering with over 400 people attending in support of marriage equality.

·          Managed the social media campaign to build attendance.

·          Directed a team of six people with Charlotte School of Law’s LGBT Legal Society to organize the event.

·          Coordinated with local chorus groups to provide music for the event.


Asian Pacific American Law Student Association, Vice-President                                                                                      August 2012 – May 2013

·         Planned networking events with local attorneys and law school students.

·         Participated in organizing events and panels that focused on diversity in law school and the legal profession.