• Defend SEC, FINRA, and DOJ investigations and prosecutions.• Spearhead internal investigations.• Advise regulated entities and market participants on regulatory and compliance matters.• Handle various types of legal matters involving cryptocurrencies and digital assets.

• Defended various executives in insider trading investigations, including alleged “tipper-tippee” liability.• Defended accounting firm and its executives in parallel SEC and PCAOB investigations.• Defended company executive in FBI inquiry into certain financial transactions.• Defended Corporate Counsel and Secretary of public company in SEC investigation.• Advise London-based brokerage firm on U.S. regulatory and compliance matters.• Defending anti-money laundering (AML) manager in DOJ Bank Secrecy Act (BSA) investigation. • Defended in-house attorney of oil and gas company in SEC investigation.• Defended dually registered broker-dealer and investment adviser in parallel investigations by the SEC, FINRA, and TSSB.• Conducted internal investigation at multinational company into cyber security matter.• Advised international company on responding to phishing incident and prepared referral to FBI and IRS.• Defended FOREX trader for commodity pool in CFTC investigation.• Advise broker-dealers affiliated with $20 billion fund complex on regulatory and compliance matters.• Defended individual in tax case initiated by The Attorney General of Texas.• Defended numerous broker-dealers and registered representatives in FINRA examinations and investigations involving, among other things, possible AML, net capital, markup, supervision, undisclosed outside business activities, conflicts of interest, and commission sharing violations.• Conducted internal investigations.

• Managed large caseload of investigations and enforcement actions involving violations of FINRA, SEC, and MSRB rules.• Developed a deep understanding of FINRA’s examination and enforcement processes, and the rules governing, and duties imposed on, broker-dealers and associated persons.• Led enforcement matters involving high-frequency trading, complex products, due diligence violations, inadequate AML compliance programs, supervision failures, oil and gas offerings, unsuitable recommendations, net capital violations, and broker misconduct.• Successfully completed over 30 cases resulting in censures, fines, suspensions, bars, and the expulsion of two broker-dealers.

• Spearheaded enforcement litigation in federal courts and administrative proceedings.• Obtained TROs, asset freezes, repatriation and document preservation orders, and receiverships in emergency federal court actions.• Handled multiple insider trading cases and offering frauds.• Prosecuted white collar crimes as a Special Assistant U.S. Attorney in the Northern District of Texas, including a case selected for The President’s Financial Fraud Enforcement Task Force.• Enforcement Director’s Awards: (1) SEC v. Millennium Bank, et al. ($100 million international Ponzi scheme); and (2) In the Matter of Lightspeed Trading (violations of short selling ban by highspeed trading firm).

• Oversaw criminal investigations by law enforcement agencies, such as the FBI, IRS, Secret Service, and Postal Inspection Service.• Versed in overt and covert investigative tactics.• Drafted search warrants, wiretap applications, criminal complaints, informations, and indictments.• Prosecuted all phases of criminal proceedings, including grand jury witness and indictment presentations, trial, initial appearances, arraignments, detention and release hearings, motions, plea negotiations, and sentencings.• Led prosecution of 12 defendants involved in large bank and loan fraud scheme and CEO for defrauding government in “politically sensitive” case of “extreme importance.”• Member, Mortgage Fraud Task Force.

• Directed significant enforcement actions (e.g., halted $160 million Ponzi scheme, charged Fortune 500 company with FCPA violations, and charged Fortune 1000 company with accounting fraud).• Supervised four attorneys, an accountant, and a paralegal.• Instructed branch members on: designing and executing investigative plans; utilizing case analysis tools; interviewing and testimony techniques; applying and interpreting the federal securities laws; legal writing; and litigation considerations.• Prepared action memoranda, complaints, and administrative proceeding papers; and routinely issued subpoenas, examined witnesses, and analyzed financial records.• While serving in the Division of Market Regulation, assisted in drafting Exchange Act Rules, analyzed and acted upon exemptive/noaction relief requests, and served as an enforcement liaison, providing guidance on proposed enforcement actions.• Awards: Chairman’s Award for Excellence; and Ultimate Investor Advocate.