Experience

  • Cybersecurity and SEC Regulatory Counseling

    • Compliance counseling for numerous public companies, investment advisers, and broker-dealers on the SEC’s proposed cybersecurity rules.
    • Off-system communications regulatory compliance counseling, policy reviews, employee training, and remediation for numerous global asset managers, financial services firms, and public companies.
    • A global private equity firm with SEC cybersecurity regulatory compliance counseling.
    • A global private equity firm with ongoing regulatory compliance counseling and cybersecurity policy reviews.
    • A multinational technology firm with SEC cybersecurity regulatory compliance counseling and cybersecurity policy reviews.
    • A prominent broker-dealer on insider trading regulatory compliance.
  • SEC and DOJ Examinations and Enforcement Defense

    • A broker-dealer and registered investment adviser in an SEC cybersecurity examination.
    • A multinational financial services company in an SEC investigation into its broker-dealer sales practices.
    • A global investment adviser in an SEC investigation regarding retention of employees’ work-related messages.
    • A major investment bank in a group settlement with the SEC and CFTC regarding retention of employees’ work-related messages.
    • A trading platform in an SEC investigation regarding registration matters.
    • A prominent broker-dealer in FINRA and SEC AML and cybersecurity investigations.
    • Ernst & Young in an SEC settlement regarding misconduct in relating to ethics and continuing professional education training.
    • A financial services executive in SEC investigation concerning registration of securities offerings.
    • A major university in responding to SEC and DOJ insider trading investigations.
    • A prominent global hedge fund adviser in an SEC enforcement investigation involving fixed income best execution issues.
    • A global consulting company in regulatory investigations concerning disclosure practices.

Education

  • Harvard Law School, J.D.
  • Yale University, B.A.