Financial Services Regulation: Broker Dealer (Compliance) (Band 3)
Practice Areas: Head of the firm's broker-dealer practice. Advises broker-dealers and alternative trading systems on compliance with SEC, self-regulatory organization (SRO) and Federal Reserve Board rules. Practice involves all aspects of broker-dealer regulation, with particular concentration in correspondent clearing, prime brokerage, net capital, margin, securities lending, customer protection and NYSE and NASDAQ trading practices.
Professional Memberships: Member of the NASDAQ market operations review committee and serves on the best-execution committees of several major broker-dealers.
Personal: JD, American University, Washington College of Law, 1998; BA, Dickinson College, 1994.