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Profile

Practice Areas: Focuses practice on SEC, exchange and FINRA compliance and enforcement matters, particularly on equity and fixed income trading, marketplace and conduct rules, and their application to broker-dealers, associated persons and investment advisers. Represents firms and associated persons in regulatory investigations and counsels on regulatory and compliance issues. Frequent speaker at financial industry seminars.

Career: Served as vice president and chief counsel of the Market Regulation Department at the NASD (now FINRA). Served as branch chief of the Division of Enforcement at the SEC.

Personal: Thomas M Cooley School of Law, JD, 1984; University of Maryland, BA, 1980.