Principal
CurrentMy current focus is on consulting and legal advice for the brokerage industry, with special emphasis on regulatory compliance and defense. Broad-based expertise in the field of municipal securities law as it affects trading, underwriting, and sales allows me to provide focused, relevant advice about SEC/MSRB examinations and allegations.Municipal legal and compliance consulting.Advice on amended and forthcoming regulations, current exams, and policy/procedure documentation. Strong focus on on flexible, yet plain-English guidelines for B/D personnel. Counsel on all facets of municipal underwriting, trading, and sales in the twenty-first century. Advice for Municipal Advisors (or for firms who wish to avoid inadvertently entering this business.)Specialized training for broker-dealer personnel, utilizing both my legal career and my prior experience in broadcast production/direction.