Overview

Marc is senior counsel in the firm's Corporate Transactions & Securities practice group. He focuses his practice on the areas of Investment Management and Business Litigation.

Marc has extensive experience with all aspects of federal and state financial services regulation. Among other services, he counsels clients on implementing compliance programs and regulatory controls and on conducting internal investigations. Marc advises clients on the due diligence, negotiation and execution of mergers and acquisitions of investment advisers and broker-dealers; the creation of new financial products and services; and the preparation for and response to regulatory inquiries, examinations and enforcement actions by federal and state agencies, state AG offices and self-regulatory organizations (SROs). Marc also created a course at Seton Hall University School of Law on developments in fintech law and regulations, including blockchain technology, cryptocurrencies, robo-advisers, privacy, cybersecurity, big data and artificial intelligence.

Prior to joining Thompson Hine, Marc was chief compliance officer for five years at an SEC-registered digital adviser, overseeing development, implementation, auditing/testing, IT integration and reporting of all policies and procedures; responding to regulatory and corporate examinations and due diligence needs; and advising executive management on legal, strategic and operational issues. In addition, Marc founded and served as president of a consulting firm providing structural, transactional and regulatory advice to broker-dealers, investment advisers, private equity funds, consumer and investment banks, servicers and marketing company clients.

Marc has served as chief of the New York Attorney General’s Office’s Investor Protection Bureau, chief of the New Jersey Attorney General’s Office’s Bureau of Securities, senior counsel at FINRA and director and enforcement counsel of the Philadelphia Stock Exchange.

PublicationsPresentations
  • Panelist, Corporate Section, National Bar Association, New York, July 2019
  • Panelist, “Diversity in Finance Companies,” National Association of Securities Professionals, June 2019
  • Panelist, “Blacks on Wall Street,” Roselle, October 2017
  • Lecturer, “Contemporary Issues in Securities Fraud,” Seton Hall Law School, April 2017
  • Panelist, “Blacks on Wall Street,” Bank of New York Mellon/Oracle, New York, February 2015
  • Panelist, “Understanding Securities Law 2014,” National Bar Association Annual Conference, July 2014
  • Panelist, “Microcap Stock Manipulation: How to Detect and Avoid It,” Boston Bar Association, March 2014
  • Panelist, “Defending Individuals & Corporations in Government Investigations,” Thomson Reuters, New York, Dec. 2013
  • Panelist, “Responding to Governmental Investigations,” National Bar Association Regional Conference, New York, June 2013
  • Panelist, “Securities Enforcement,” Sheppard Mullin, Financial Regulatory & Enforcement Symposium, New York, May 2013
  • Panelist, “State Regulation,” SIFMA Legal & Compliance Conference, Phoenix, March 2013
  • Faculty, “Coping with Broker Dealer Regulation,” Practicing Law Institute, New York, October 2009- 2012
  • Panelist, “Complex Products,” SIFMA, New York, September 2012
  • Panelist, “Criminal Securities Enforcement,” Bingham McCutchen/Securities and Exchange Commission Historical Society, New York, September 2012
  • Presenter, President Obama’s RMBS Working Group, Securities and Exchange Commission, Washington, D.C., February and May 2012
  • Moderator, “Regulation of Social Media,” NASAA Annual Policy Conference, April 2012
  • Panelist, “State Securities Regulation,” NASAA Winter Enforcement Conference, New Orleans, April 2012
  • Panelist, “State Regulation,” SIFMA Legal & Compliance Conference, Miami, March 2012
  • Panelist, “National Mortgage Fraud Settlements,” SOMOS Legal Conference, New York Legislature, February 2012
  • Presenter, SIFMA Monthly State Regulatory Meeting, New York, October 2009, May 2010 and August 2012
  • Panelist, New York Financial Planners Association, November 2011
  • Panelist, American Conference Institute, New York, October 2011
  • Panelist, “Structured Product Risks,” NASAA Broker-Dealer Training, Ft. Lauderdale, June 2011
  • Panelist, “What Regulatory Reform Means to Main Street,” NASAA Annual Public Policy Conference, Washington, D.C., April 2010
  • Panelist, “Symposium: Securities Regulation and the Global Economic Crisis: What Does the Future Hold?” Seton Hall Law School, October 2009
  • Panelist, “Business Ethics,” Rutgers School of Business, October 2009
  • Presenter, “Insider Trading in Options,” FINRA Continuing Legal Education, New York, 2008
Distinctions
  • Outstanding Service Award, North American Securities Administrators Association, October 2013
Professional and Civic

Professional Associations

  • National Association of Securities Professionals, 2019-present
  • National Society of Compliance Professionals, 2015-present
  • North American Securities Administrators Association, 2010-present
  • National Bar Association, 1994-present

Community Activities

  • Commissioner, Hingham Historic Districts Commission, Hingham, MA, 2013-2015

Professional Activities

  • Founder, Ohio Chapter, National Association of Securities Professionals
  • North American Securities Administrators Association
  • Broker Dealer Committee, 2011-2013
  • Self-Regulatory Organization Liaison Special Committee, 2010-2013
  • Federal Legislative Agenda Committee, 2010-2012
  • Chair, Investment Products & Services (Emerging Risks) Project Group, 2010-2012
  • Chair, Annual Policy Conference, Washington, D.C., March 2011
NewsEvents