Therese Surprenant

Managing Director

General Counsel

Ms. Surprenant is the General Counsel for U.S. Capital Advisors.  From August 2002 through June 2010, she was Associate General Counsel for UBS Financial Services Inc. where she was responsible for managing significant broker-dealer regulatory matters.  She successfully represented the firm and individual clients in numerous SEC, state and SRO investigations and conducted internal investigations of potential sales practice and regulatory violations.  She also developed account documentation and legal agreements for a specialized area of the broker-dealer business and provided legal advice on compliance policy initiatives regarding computer and internet use, market timing, mutual funds, closed-end funds and variable annuities.  Prior to joining UBS, Ms. Surprenant was an associate at Jenkens & Gilchrist in Austin and San Antonio where she represented companies and individuals in commercial litigation, wrote insurance coverage opinions for insurance company clients and negotiated and advised on a wide range of contracts.  

Ms. Surprenant earned her J.D. in May 1996, graduating with honors from the University of Texas.

tsurprenant @uscallc.com

713-366-0556