I counsel clients in the investment management, broker-dealer, and financial services industries on regulatory matters, including examinations, investigations, and enforcement proceedings, as well as complex civil and securities-related litigation. Additionally, I assist clients in developing and implementing compliance and regulatory risk management plans and represent clients in complex civil and securities litigation.Before entering private practice, I was a staff attorney in the Securities & Exchange Commission’s (SEC) Division of Enforcement. I clerked for regional counsel for the National Association of Securities Dealers Regulation — Enforcement Division (now FINRA).
Listed skills include Litigation, Securities Regulation, Commercial Litigation, Securities Litigation, and 13 others.