About
Former SEC enforcement attorney focusing on litigation and regulatory matters for financial services clients, including hedge fund matters and general commercial litigation. Represents officers, directors, broker-dealers, investment advisors, banks, and public issuers in investigations and disciplinary proceedings before the SEC, CFTC, FINRA, FDIC, NYSE, CBOE, CME, and state regulators. Also handles investor class-action, derivative, and other litigation and arbitration; conducts internal investigations for public companies; and represents brokerage firms in customer-initiated cases.
Practice areas
Financial Services LitigationFinancial Regulatory & ComplianceSecurities LitigationCorporate Internal InvestigationsCommercial LitigationArbitrationAnti-Money LaunderingWrongful Termination & Compensation Disputes
Office
Expertise
SEC EnforcementCFTC EnforcementFINRA ProceedingsSecurities Class ActionsInternal InvestigationsFinancial Services LitigationCommercial Litigation & Arbitration
Education
- J.D., University of Illinois College of Law, 1987
- M.B.A., University of Chicago, 1993
- A.B., University of Michigan, 1983
Languages
English