I defended broker-dealers and investment advisers in securities litigation for over twenty-five years, so I know Wall Street’s playbook inside out. I know the strategies, the tactics, and the pressure points. What better advocate for an investor who has experienced losses due to bad advice or fraud or a registered representative who has been named as a defendant in a lawsuit or arbitration?
As a former Deputy General Counsel at a major broker-dealer and investment adviser, I know the securities industry and its regulators, and I put that knowledge to good use in defending investment professionals in regulatory investigations involving the SEC, FINRA, and other regulators.
Drawing on over a dozen years of prosecutorial experience, I represent individuals and small to medium-size entities in challenging white-collar criminal investigations and cases.