I advise broker-dealers, investment advisers, and other financial market participants on their ever-changing regulatory obligations under federal and state securities laws and rules and regulations of the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other self-regulatory organizations (SROs). The clients I advise range from global financial institutions to start-ups and fintechs to pooled investment vehicles. Although my core practice is counseling broker-dealers on their regulatory, business, and operational needs, I routinely advise clients in SEC and FINRA examination and enforcement matters, employee compensation and disciplinary matters, and M&A and other change-of-control transactions.