Partner
CurrentI represent broker-dealers, investment advisers, insurance companies, banks, accountants, and other corporate and individual clients in securities, professional liability, regulatory, and complex business litigation. I represent clients in state and federal courts and before regulators and self-regulatory organizations such as the Financial Industry Regulatory Authority (FINRA), where I have represented clients in hundreds of arbitrations.I defend claims arising from transactions in investment vehicles, including stocks, options, variable products, bonds, mutual funds, private placements, derivatives and auction rate securities. I defend banks in actions arising from the sale of debt and equity derivative products. I represent broker-dealers, registered representatives, RIAs, and insurance companies involved in regulatory investigations and enforcement actions. I defend accountants in professional liability actions.
