• A broker-dealer in a FINRA enforcement investigation related to the January 2021 meme-stock trading events.
    • Former independent directors of a previously public company related to SEC and DOJ investigations.
    • Robinhood in its SEC and FINRA settlements relating to best execution practices and payment for order flow.
    • A large financial services institution in an SEC investigation focused on its share class selection and revenue sharing arrangements that resulted in a declination by the government.


  • United States Military Academy at West Point, 2005, B.S.
  • University of Texas, 2008, M.A.
  • University of Texas School of Law, 2013, J.D.