Practice Areas

Investor Financial Litigation

Investor Financial Litigation

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?

Regulatory Enforcement Defense

Regulatory Enforcement Defense

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.

White Collar Criminal Defense

White Collar Criminal Defense

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.