Securities: Regulation: Enforcement (Band 4)
Practice Areas: Chair of the Securities Litigation and Enforcement Practice. Practice focuses on representing broker-dealers and their employees in governmental, self-regulatory organization and state securities commission investigations and disciplinary proceedings, counseling broker-dealers on regulatory and compliance issues (including the development and implementation of written compliance and supervisory procedures) and conducting internal investigations. Also acts as independent consultant to investment banks in connection with regulatory settlements.
Professional Memberships: Member, FINRA's Independent Dealer/Insurance Affiliate Committee; Former Member of the Board of Directors of the National Society of Compliance Professionals, NYSE’s Electronic Communications Task Force and the NASD Market Regulation Committee.