Experience

    • A major financial institution in a SEC investigation related to financial reporting issues.
    • A large retail investment adviser in an investigation of the use of proprietary products in discretionary investment programs.
    • A hedge fund manager in an SEC investigation related to the valuation of structured products.
    • A registered investment company in an SEC investigation of alleged dealer-interposed cross-trades.
    • Successful defense of a hedge fund managing director in an SEC insider trading investigation involving PIPEs transactions.
    • A large retail investment adviser, in its settlement arising from the SEC’s Share Class Selection Disclosure Initiative.
    • Regular advice to mutual fund, hedge fund and private equity sponsors in SEC examinations.
    • Cloudmode LLC in blockchain token launches.
    • A major global financial institution in federal and state regulatory investigations relating to auction-rate securities.
    • JPMorgan Chase in the dismissal with prejudice of a borrower class action alleging kickbacks relating to a captive mortgage reinsurance program in alleged violation of the Real Estate Settlement Practices Act.

Education

  • University of Michigan Law School, 2007, J.D.
  • University of North Carolina at Chapel Hill, 1999, B.A.

Languages

  • French