Mediator with experience and training in mediation. Approved as FINRA DIspute Resolution Arbitrator.

Hearing officer at FINRA, presiding over disciplinary cases and a expedited proceedings. Matters included a broad range of alleged violations, from simple matters to the most complex cases. The disciplinary cases included matters relating to recordkeeping, anti-money laundering procedures, net capital deficiencies and reporting, supervision, outside business activities and selling away, failure to provide information, conversion, and securities fraud. The cases involved issues relating to a wide variety of financial instruments, including equities, bonds, auction rate securities, variable annuities, life insurance products, and options. I also presided over expedited proceedings, including petitions for temporary cease and desist orders, suspensions for failure to provide information, alleged membership agreement violations, and proceedings involving firms experiencing financial or operational difficulties under Rule 9557. Approximately 40 decisions published on the FINRA website, and on Lexis and Westlaw.

Partner in commercial litigation group, focusing on business litigation, including antitrust, government contracts, Federal Trade Commission matters, and financial institution matters.

Litigation Associate, then partner, in D.C. office of Long Island firm, until D.C. office split off as a small D.C. firm in 1992. Practice focused on business litigation, including securities fraud, RICO, bankruptcy, contractual disputes, products liability, antitrust, and bank failure litigation involving liability of directors and officers and auditors.

I worked on antitrust, false advertising, and fraud cases. My antitrust work included investigation and trial of cases. My principal assignment was working on the trial of a large, complex antitrust cases, in which I took many depositions and examined many witnesses at trial. My work in the advertising and fraud work included review and evaluation of cases, advising trial teams on strategy, and trial.