Therese Surprenant

Managing Director

Legal and Regulatory Counsel

Ms. Surprenant joined USCA in 2010 as one of its first employees; in addition to managing all legal aspects of the firm since inception, she has guided the development of USCA’s compliance and supervisory systems.  She provides a comprehensive range of legal advice and services to the firm, including employment law, risk management, regulatory compliance and litigation and provides customized in house training to the firm’s employees.  Ms. Surprenant is a voting member of USCA’s committees and head of USCA’s Cybersecurity Committee. Prior to joining USCA she was Associate General Counsel for UBS Financial Services Inc. where she was responsible for managing significant broker-dealer regulatory matters, successfully representing the firm and individual clients in numerous SEC, state and SRO investigations. She also conducted internal investigations of potential sales practice and regulatory violations and provided legal advice on compliance policy initiatives regarding computer and internet use, market timing, mutual funds, closed-end funds and variable annuities.  Ms. Surprenant started her legal career as litigation counsel with a national law firm 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.