As an accomplished senior counsel with substantial broad litigation and trial experience, throughout my career, I have been extremely successful in complex commercial matters by utilizing my counseling and negotiation skills to enable me to achieve clients’ business goals. My strength lies in civil trial, appellate and alternative dispute resolution forums in a wide range of litigation and regulatory matters, regularly representing financial institutions and their professionals. I regularly endeavor to develop case strategies to achieve satisfaction of client priorities within budgetary requirements. I am a trusted professional for handling securities and general commercial matters, with a particular emphasis on defending broker-dealers, investment advisers, hedge funds and their senior management and associated persons in regulatory inquiries, investigations and enforcement matters before federal regulatory authorities (SEC), securities self-regulatory organizations (FINRA, NYSE) and state regulatory authorities. I am goal-oriented with extensive experience managing pressure and meeting strict deadlines. A brief description of my achievements is as follows:• Successfully represented investment manager and its principals in high-stakes fraud, breach of fiduciary duty and breach of contract action arising out of Bernie Madoff’s Ponzi scheme.• Respondent’s award obtained in FINRA arbitration on behalf of broker-dealer defending $750K breach of contract and fraudulent inducement claims asserted by ex-employee.• Successfully prosecuted sales practice, fraud and breach of fiduciary duty claims in FINRA arbitration on behalf of religious order against broker-dealer and its registered representative.• Motion to dismiss Statement of Claim granted after FINRA arbitration hearings on behalf of financial planner against customer asserting claims for invasion of privacy and theft of personal financial information.• Claimant’s award (including attorneys’ fees) obtained in AAA arbitration on behalf of equity trader against proprietary trading firm for breach of contract, accounting and conversion in connection with Respondent’s refusal to return trader’s capital account and pay trading profits.• Regularly serving as a judge at Yale University’s annual Mock Trial Invitational. If you want to know more about me, please feel free to connect.