As Chief Legal Officer and Secretary for U.S. Bancorp Investments, a full-service broker/dealer, investment adviser, and insurance agency, I manage the team supporting USBI’s retail operations and governance. I provide legal and strategic support to USBI and to the broader U.S. Bancorp Company. I partner with the business line to support organizational process enhancements, business products, systems, and tools, and necessary regulatory changes. I advise on regulatory examinations, enforcement actions, customer complaints, and employment matters. I Interpret laws, rules, and regulations affecting the operation and management of the USBI organization and assist in the monitoring for changes to laws, rules, and regulations. I Hire and manage outside counsel.Prior to my current position with USBI, I served as Securities Regulatory Counsel for U.S. Bank, and remain the Law Division’s Reg R expert and representative to the Company’s Volcker Program Office.

As an Enforcement Attorney for the Tennessee Department of Commerce and Insurance, I brought enforcement actions primarily for violations of the Tennessee Securities Act or Tennessee Insurance Law, but also affecting certifications for peace officers in Tennessee. I provided legal counsel to the Securities and Insurance Divisions, advising on requests for no-action letters, interpretive opinions, other policy issues before the Divisions and assisted the enforcement unit of the Tennessee Securities Division with investigations. I was responsible for supervising attorneys assigned to joint securities/insurance cases and legal interns. For three years, I served on the North American Securities Administrators Association's Corporation Finance Coordinated Opinions Project Group.

As an administrative hearing official for the Tennessee Department of Human Services, I conducted fair hearings and prepared Initial Orders and Answers to Petitions for Reconsideration in response to appeals concerning benefits programs in accordance with applicable federal and state law, administrative and judicial precedents, and available evidence. I authorized payments of valid claims and determined penalties and the existence or amount of liability; recommending acceptance or rejection of claims and compromising settlements. In addition, I conferred with individuals or organizations involved in cases in order to obtain relevant information; administered oaths and ruled on exceptions, motions, and admissibility or relevance of evidence.