Representative experience prior to joining the firm:

• Defending individuals and entities in all stages of examinations, investigations, and administrative proceedings initiated by the Securities and Exchange Commission (SEC), including appeals to the Commission and/or federal courts.
• Assisting with all stages of FINRA examinations or investigations, including representation at on-the-record (OTR) testimony, responding to 8210 requests, exam-exit processes, settlement, Wells Responses, and other enforcement resolution processes.
• Assisting in all stages of examinations or investigations brought by the SEC, state securities commissions, or industry associations (such as the CFP).
• Defending enforcement actions brought by regulators (FINRA, SEC, states) from inception through hearing and, if necessary, the appellate process.
• Advising clients on regulatory compliance matters.
• Defending individuals and financial institutions in any forum (FINRA, AAA, courts) against customer complaints of all varieties, including disputes involving allegations of securities fraud, unsuitability, defamation, breach of fiduciary duty, fraud, negligence, overconcentration, and failure to supervise.
• Assisting clients with matters involving a wide variety of securities and investment products.