Patrick A. O’Shea

Patrick A. “Pat” O’Shea is a Bates Testifying Expert with broad leadership and P&L experience in capital markets, investment banking, institutional sales & trading, and equity research. In addition to his managerial roles, as a General Securities Principal (FINRA Series 24) he has experience in regulatory matters, compliance requirements and market structure issues faced by broker-dealers, qualifying him broadly in consulting, arbitration, and expert witness assignments. He has served as expert, provided depositions and testified in cases being adjudicated or negotiated, representing both plaintiffs and defendants, and both broker-dealers and their clients.

Pat’s career has focused on helping emerging growth companies with strategic direction and capital formation. Recently, Pat served as CEO of a broker-dealer in formation, DH Capital Securities LLC, which subsequently was acquired, and he continues to serve as investor and partner with ICmed LLC, an emerging digital health solution focused on building secure communication pathways among clinicians, employers, patients and caregivers to improve medical outcomes.

Prior to affiliating with Bates, Pat served on the Board of Managers and as Senior Managing Director and Head of the Equity Capital Markets division for BB&T Securities from 2006 to 2015, responsible for the investment banking, institutional sales & trading, equity research and origination and syndicate groups. From 2003 to 2006, Pat co-founded Banner Capital Markets, which facilitated privately negotiated equity transactions for public companies. Prior to Banner, Pat held leadership roles in Equity Capital Markets and Investment Banking with Deutsche Bank Securities and predecessor Alex. Brown & Sons, from 1991 to 2002, and in Sales & Trading Management with Salomon Brothers earlier in his career. All in all, Pat has led or contributed to over five hundred equity capital-raising and M&A transactions for these firms, and he is versed in all matters related to equity IPO and shelf registrations, underwriting, retail and institutional distribution, pricing, stabilization, and new-issue trading. Through these experiences, he has worked closely with corporate boards, venture capital firms and private equity funds.

Throughout his career, Pat has served on industry association committees to help drive market structure modernization, including most recently the SIFMA Institutional Brokerage and Equity Capital Markets committee from 2009 to 2016.

Pat also served pro bono on the Board of Trustees of the Maryland Retirement and Pension System from 2003 to 2008. Appointed by the Maryland Governor, he filled the first of two expanded seats reserved for financial experts, required through legislation by the Maryland General Assembly in response to a scandal involving prior trustees. Pat successfully led efforts to expand the system’s exposure to alternative investments, including private equity and venture capital.