Experience

    • Oaktree in its settlement with the SEC relating to alleged violations of the pay-to-play provisions of the federal securities laws.
    • A business development company adviser and private fund adviser in their settlement with the SEC relating to alleged violations of co-investment exemptive order conditions.
    • Tiber Creek Corporation and two individuals in their settlements with the SEC for alleged unregistered broker-dealer activity.
    • A global pharmaceutical company and multiple directors in two SEC investigations.
    • A prominent global hedge fund adviser in multiple SEC and FINRA examination and enforcement matters.
    • A prominent private equity adviser in an SEC investigation focused on technology investments.
    • A large private equity adviser in an SEC investigation of a portfolio company.
    • A leading fund-of-funds adviser in an SEC/DOJ investigation of an underlying investment.
    • A clearing firm and its subsidiaries in various examination and enforcement matters before the SEC.
    • A leading real estate private funds adviser in an SEC investigation of its relationship with a service provider.
    • A Fortune 500 life insurance company and its subsidiaries in two SEC investigations.
    • A prominent fund administrator in an SEC odd lot valuation investigation.
    • A large financial services institution in an SEC investigation focused on its share class selection and revenue sharing arrangements.
    • A large financial services institution in an SEC investigation of its sales practices and revenue sharing arrangements.
    • A broker-dealer in various investigations relating to best execution practices and payment for order flow arrangements.
    • A large global hedge fund adviser in an SEC investigation related to alleged Rule 105 violations.
    • A high-profile financial information content provider in an SEC investigation.
    • A prominent hedge fund adviser in SEC investigations related to CDS and other trading.
    • A fixed income hedge fund adviser in an SEC investigation related to alleged cross transactions.
    • A CDO manager and its affiliates in an SEC examination.
    • A family office of the principal of a large private equity firm in negotiating a compliance governance framework between the family office and the firm.
    • A Fortune 100 financial services company in an internal investigation related to soft dollars.
    • Leading private equity fund advisers in SEC routine examination preparation, as well as examinations focused on fee and expense allocations, conflicts disclosures, secondary transactions, relationships with affiliates, and alleged pay-to-play rule violations.
    • Various prominent private equity fund and hedge fund advisers in fee and expense allocation remediation projects.

Education

  • Duke University School of Law, 1999, J.D.
  • Duke University, 1999, M.P.P.
  • Duke University, 1993, A.B.