Willis H. Riccio is a noted securities administrator, author, speaker, university professor and litigator. He provides deft securities counsel and representation to his wide-ranging clients. He has tried many securities cases, including a number involving novel points of law or matters of first impression - including SEC v. MA Lundy Associates, a case wherein scotch whiskey receipts were held to be securities for the first time. The case received international attention. In 1978, Willis Riccio was appointed a Special Assistant United States Attorney for the District of Rhode Island to criminally prosecute securities fraud cases. He continued to serve in that position until November 1, 1985.
Willis Riccio is an adjunct professor of securities law at the New England School of Law and has appeared as a guest lecturer on securities regulation at prestigious law schools. He has written over thirty articles and monographs on securities law, evidence and procedure for law journals, legal periodicals and magazines and is a frequent speaker and expert consultant on securities matters. Periodically he is invited to lecture to new employees of the SEC on the federal securities laws. He does the same for the North American Securities Administrators Association and the NASD. Attorney Riccio has received the highest (AV) rating from the Martindale Hubbell Law Directory.
Willis Riccio received his Bachelor of Arts Degree from Brown University, his Doctor of Jurisprudence Degree from Georgetown University Law Center as well as his Master’s of Law Degree. He was awarded an honorary degree of Doctor of Laws by the New England School of Law in recognition of his achievements as a securities litigation attorney, a law teacher and SEC Administrator. He was the Regional Administrator for the New England Regional Office of the United States Securities and Exchange Commission until November 1, 1985 when he left to join the National Association of Securities Dealers as Vice President and Director. In 1983 he was the recipient of the SEC’s highest award, the Distinguished Service Award. Prior to joining Looney and Grossman, Riccio was counsel at Adler Pollock & Sheehan PC and was Chair of the Securities Practice Group.
Willis was recently named in the 2008 “100 Securities Litigators You Need to Know” by Lawdragon. He is a member of the Advisory Board of BNA’s Securities Regulations and Law Report and its Broker-Dealer Compliance Report. And is a member of the Association of SEC alumni. He is a member of the Rhode Island Bar Association and its Committee on Ethics and Professionalism, as well as the District of Columbia and United States Supreme Court Bars. He is a member of the Securities Enforcement and Litigation Committee of the Boston Bar Association. Mr. Riccio is a member of the Brown Faculty Club, the Boston Press Club, the Phi Kappa Psi fraternity at Brown University, and the Phi Alpha Delta Legal Fraternity and the Supreme Court Historical Society.
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