Over 35 years of regulatory, litigation and compliance experience in the securities industry. Five plus years as transactional securities and commodities attorney including corporate governance issues. Eight plus years as securities regulator with the U.S. Securities and Exchange Commission in both the Division of Corporation Finance and the Division of Enforcement. Twelve years as in-house counsel providing litigation/arbitration, regulatory and compliance advice to wirehouse, bank brokerage, and independent contractor distribution channels. Senior Regulatory and compliance counsel to significant investment advisor channels.Specialties: Securities arbitration and regulatory attorney with extensive experience in a wide variety of customer and employment matters. Substantial Expert Witness experience drawing on my in-house expertise with litigation/arbitration, complex regulatory matters, and customer issues and remediations for both broker/dealer and investment advisors.