Litigation Partner
CurrentIn addition to internal corporate investigations, my practice focuses on securities litigation, complex commercial litigation, officer and director liability, broker-dealer liability, and regulatory/SRO enforcement actions--e.g., SEC, FDIC, and various state regulatory agencies.Finally, I regularly provide advice and representation in injunction hearings and FINRA panel hearings to broker-dealers and financial advisors regarding transition issues, including Protocol requirements; non-solicitation and other restrictive covenants; interference claims; U-5 defamation; and unfair competition allegations.