Financial Services Regulation: Broker Dealer (Compliance) (Band 2)
Practice Areas: Member, Broker-Dealer Compliance and Regulation, Futures and Derivatives, and FinTech Groups. Practice focuses in the areas of securities law, broker-dealer issues, policies and compliance, membership applications, restructurings involving broker-dealers, trading advice and market structure.
Career: Former Director of Equities Compliance and Executive Director at UBS Warburg, Director of Capital Markets Compliance at PaineWebber and Branch Chief of Broker-Dealer Enforcement Division of the SEC. Admitted, New York Bar, 1991. Joined firm, 2001.
Personal: Yeshiva University, Benjamin N Cardozo School of Law (JD , magna cum laude); Rutgers University (BA).