Regulatory Experience• Research, interpret, and provide advice regarding rules, regulations, statutes, and decisions of regulatory bodies related to the federal securities laws and financial industry.• Plan and execute investigations pertaining to sales practice and trading violations by member firms and associated persons.• Coordinate with investigative staff, subject matter experts, and forensic IT personnel to capture and process documentary and electronic evidence.• Interview witnesses and respondents and conduct searches of public records.• Examine and analyze data, including the use of forensic eDiscovery tools for large or complex collections of documents or e-mail.• Draft memoranda summarizing investigative results and recommending advisability of pursuing legal action.• Respond to requests for information and documents by state and federal regulators.• Develop strategy and case formulation in matters requiring formal disciplinary action.• Conduct negotiations with respondents and opposing counsel; prepare, document, and obtain approval for settlements.Litigation Experience• Represent FINRA in formal disciplinary proceedings. Trial experience includes second chairing hearings, presenting opening statements, and performing the direct examination and cross-examination of witnesses. Appellate experience includes providing oral argument before FINRA's National Adjudicatory Council.• Draft complaints, motions, oppositions, witness lists, exhibit lists, pre-hearing briefs, and appellate briefs; select, assemble, and redact exhibits and demonstratives; participate in pre-hearing conferences.• Manage and conduct the discovery process.

Practice areas included commercial litigation, corporate transactions, contract law, partnership law, employment law, insurance law, real estate law.

Provided legal summary and analysis of the regulatory compliance reporting of members of the New York Stock Exchange. Assisted in developing Commission oversight criteria for the regulation of exchange- traded funds