À propos
Former head of enforcement at FINRA with deep insight into financial services regulation. Advises clients on regulatory investigations, compliance, and responses to inquiries from SEC, FINRA, and other regulators.
Domaines d’expertise
AML and Economic Sanctions Compliance and EnforcementBroker-Dealer Compliance and RegulationCoronavirus (COVID-19) Task ForceFinTechInvestigationsSecurities EnforcementSecurities LitigationWhite Collar Defense and Investigations
Bureau
Expertise
Anti-Money LaunderingMarket AccessMarket ConductCustomer ProtectionDisclosure ViolationsRegulation BI
Formation
- JD, New York University School of Law, 200
- MA, Sociology, University of California, Davis, 1996
- BA, Government and Sociology, Georgetown University, 1994
Inscriptions au barreau
- New York
- US Court of Appeals for the Ninth Circuit
- US District Court for the Eastern District of New York
- US District Court for the Southern District of New York