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Caleb DuBois Caleb DuBois

Caleb DuBois


Shareholder

Meet Caleb, an upbeat regulatory ace and doting father.

Caleb DuBois

207 228-7378 direct
207 774-1200 main
207 774-1127 facsimile

100 Middle Street
PO Box 9729
Portland, ME 04104-5029

AWARDS
  • Barnett I. Shur Civic Award, Bernstein Shur
PRESS & PUBLICATIONS

Here’s why you’ll enjoy working with him.

Caleb is enthusiastic about all the arcane details of the complex regulatory and compliance issues affecting financial services clients—and he never loses sight of their overarching strategic goals. As a shareholder in Bernstein Shur’s Financial Regulation & Compliance Practice Group, Caleb leverages his comprehensive understanding of regulatory risk and sensitivity to fiduciary and ethical matters to help leading C-suite executives navigate securities regulation and compliance.

But that’s not all. Caleb is also very experienced in:

  • Business development, public and private capital raising, business transactions, corporate governance and formation issues
  • Product development for investment banks, analysis of complex mutual fund disclosure obligations, counseling regulated entities in the context of SEC examinations, investigations, and litigation claim assessment
  • Representing banks and financial institutions serving as trustees, administrators, custodians and agents in structured finance transactions, including mortgage-backed and asset-backed securities and municipal debt offerings
  • Analysis of complex liability issues raised in the context of cap and swap transactions, counseling related to the mandatory and optional redemption of bonds, and the negotiation of escrow agreements

In his former life, Caleb was:

  • A litigation paralegal
  • An intern on the enforcement staff for the Maine Office of Securities
  • An intern with the Civil Division of the United States Attorney’s Office for the District of Massachusetts Providing pro bono legal services to a number of nonprofits. Caleb has served on various committees for Big Brothers Big Sisters of Southern Maine and was elected to the board of directors in 2010.

When Caleb isn’t working, he is…

Caleb is a devoted family man whose young son never ceases to amaze him. He enjoys brewing his own beer, playing team sports, and improving his golf game. When winter arrives, he looks forward to skiing and enjoying a good book in front of a wood stove.

Background

Education
JD, Northeastern University School of Law, 2007
BA, Bowdoin College, 2002, magna cum laude

Admitted to practice
State of Maine

MEMBERSHIPS

Maine State Bar Association
American Bar Association