Litigates a docket of cases relating to violations of the Commodity Exchange Act and CME Group Exchange rules, including but not limited to: market manipulation, disruptive trading, spoofing, speculative position limits, trade misreporting, algorithmic trading, prearranged trading, wash trading, EFRPs and failure to supervise. Reviews investigative reports referred from the Investigations and Market Surveillance Departments, participates in witness interviews, evaluates sufficiency of evidence, develops case strategies and conducts legal research, valuates and determines sanctions for investigative referrals. Negotiates sanctions, undertakings and restitutions, drafts settlement agreements, and conducts settlement hearings as well as contested hearings.

Acted as legal counsel to Wealth Management Services and provided legal advice and guidance to the various products in Mutual Fund Services. Drafted and negotiated NDAs and other documents. Initiated, analyzed and developed rule filings for product initiatives and communicated with the Securities and Exchange Commission (“SEC”) and other regulators with respect to such initiatives. Served as Secretary for the Board Risk Committee of DTCC. Represented the interests of DTCC and its affiliated entities interests in industry initiatives and projects, work with outside counsel in assigned areas and projects.

Initiated, analyzed and developed amendments to Exchange rules, policies and procedures for existing and developing business initiatives. Provided legal analysis of proposed rule amendments in light of federal securities laws and other SRO rules. Drafted new rules or interpretation changes to address changing industry practice and environment, e.g. Next Generation NYSE, new products/services or strategies for submission to the Securities and Exchange Commission (SEC). Served as liaison between the business and regulation departments at the Exchange to facilitate discussion and achieve resolution with respect to proposed rule amendments and potential surveillance impact. Represented the Exchange in discussions with senior SEC staff and participate in meetings with Exchange senior management regarding proposed rule amendments. Represented NYSE Regulation in Allocation interviews between issuers and Designated Market Maker units. Assisted Corporate Secretary with corporate governance responsibilities, namely in the preparation of NYSE disciplinary and delisting appeals before the Board of Directors' Committee for Review (CFR) and the SEC. Responsibilities included taking minutes at Board meetings, review and brief the Record on Appeal for the CFR and act as liaison between the parties (2007-2008)

Managed a large docket of cases referred by various regulatory departments at the American Stock Exchange. Cases include Floor Trading Violations (Market Maintenance, Best Execution, On-Floor Trading), Examinations (Sales Practice/Financial/Special) and deficient Written Supervisory Procedures and Compliance Manuals. Responsibilities included conducting internal investigations, deposing witnesses, evaluating sufficiency of evidence, assisting the Trading Analysis and Market Surveillance Departments with referrals, validating data, drafting motions, reports of investigation, memoranda, stipulations and statements of charges, recommending sanctions, preparing cases for hearing, representing Enforcement at contested and consent hearings. Promoted to Senior Attorney in 2006. Received the President’s Team Award for successful resolution of multiple global settlements against member firms and service to NASD in December 2006.

Engaged primarily in insurance defense practice as well as labor law matters. Substantive litigation experience included drafting and arguing dispositive motions before the New York state courts, deposing witnesses, evaluating liability and exposure, representing defendants at court conferences, handling all aspects of discovery and trial preparation.

Interviewed complainants, witnesses and police officers, drafted depositions and juvenile delinquency charging petitions, conducted numerous pre-trial hearings and bench trials before the Bronx Family Court in support of misdemeanor and felony juvenile delinquency petitions for drug possession and sale, burglary, assault and robbery from inception to disposition, argued habeas corpus motions and investigated crime scenes.

Prepared and assisted in legal defense in criminal cases on behalf of indigent clients, drafted and argued motions in various state courts, interviewed witnesses and conducted research.

Drafted rulings on motions filed with the federal court, attended courtroom proceedings, reviewed rulings with the judge.

Assisted Assistant District Attorneys in investigations of child abuse allegations, witness interviews and all other stages of trial preparation.

Assisted partners and associates of the Environmental Law group by conducting legal research, drafting legal memoranda, preparing legal synopses and discovery requests, cite-checking legal briefs and all other stages of litigation.