Professional Experience

• Represented public companies and their executive officers in connection with various SEC investigations involving accounting and disclosure fraud
• Represented public companies and individuals in connection with various insider trading investigations and actions by the SEC, FINRA, and the United States Attorney's Office
• Represented broker-dealers and their associated persons in connection with examinations, inquiries, investigations and enforcement actions by the SEC, FINRA, and the Connecticut Department of Banking, covering a wide range of subject matters
• Represented investment advisers and their supervised persons in connection with investigations and enforcement actions by the SEC and the New York State Attorney General's Office, covering a wide range of subject matters
• Represented a public accounting firm in connection with an SEC investigation involving accounting and disclosure fraud
• Conducted an internal investigation for a financial institution concerning a whistleblower complaint alleging fraud, falsification of records, corruption and mismanagement, and violations of anti-money laundering and other securities and banking laws
• Conducted an internal investigation for a public company concerning improper revenue recognition by third party vendors
• Represented a commodity futures commission merchant in a case before the United States Supreme Court concerning the right to bring a private action against a futures exchange for damages caused by the exchange's failure to enforce its rules
• Serving as court-appointed "Distribution Agent" for $65 million Fair Fund, SEC v. McAfee, Inc., C-06-0009 (PJH) (N.D. Cal.)
• Served as SEC-appointed "Plan Administrator" for $50 million Fair Fund, In the Matter of Morgan Stanley, DW, Inc., Exchange Act Release No. 52482 (September 21, 2005)
• Served as "Independent Third Party Auditor" for a NYSE specialist firm pursuant to NYSE Rule 104(h), by conducting review of all specialist systems employing algorithms and all algorithms to ensure that they operated in accordance with SEC and NYSE rules
• Served as "Independent Consultant" for a NYSE specialist firm pursuant to settlements with the SEC and NYSE of enforcement actions concerning interpositioning and trading ahead of customer orders on the NYSE, by conducting review of policies, procedures and systems for handling of customer order flow on NYSE, and recommending amendments and revisions to policies, procedures and systems to ensure compliance with SEC and NYSE rules
• Represented a pension fund in connection with the SIPC liquidation of Bernard L. Madoff Investment Securities LLC
• Represented the New York State Common Retirement Fund with respect to enforcement and litigation matters arising from a "pay-to-play" scandal related to its hedge fund and private equity investments
• Represented an investment adviser in class actions and derivative suits concerning market timing and late trading of mutual funds
• Represented a securities analyst in an NYSE disciplinary proceeding involving improper disclosure to institutional customers of an impending stock rating downgrade
• Represented a broker-dealer and securities analyst before the NASD's National Adjudicatory Committee in an appeal of the first litigated disciplinary proceeding involving the analyst disclosure provisions of NASD Rule 2711
• Represented a news organization in connection with SEC investigations concerning the dissemination of false rumors
• Represented a hedge fund executive in connection with the New York State Attorney General's investigation concerning the subprime mortgage-backed securities market

• Guest Lecturer, Columbia University Graduate School of Business, "Insider Trading Law for Securities Analysts," 1996 to the present
• Author, "The Designated Third Party Requirement: The Final Frontier of SEC Rule 17a-4(f)," November 2009 (White Paper commissioned by Iron Mountain)
• Panelist, "Treasury's Proposed Regulator Overhaul - Implications for Technology," Second Annual SecuritiesTech Conference, sponsored by Securities Industry News, October 6, 2008, New York City
• Panelist, "Global EDiscovery: Cross-Border Employees And Privacy Protocols For Cross-Border Discovery In U.S. Civil Litigation And Investigations," IQPC eDiscovery Conference for the Financial Service Industry, February 29, 2008, New York City
• Author, "BlackBerry in the Regulatory Spotlight: FINRA Provides Compliance Guidance to Member Firms Regarding 'Non-Member E-Mail Platforms' and 'Personal Electronic Communications Devices,'" February 2008 (White Paper commissioned by Research in Motion Limited)
• Co-author, "Responding To SRO Market Surveillance Inquiries Into Potential Insider Trading," The Metropolitan Corporate Counsel, October 2007
• Co-author, "Securities Class Action Settlements - How Corporate Governance Reform Has Played a Role in the Process," New York Law Journal, September 20, 2007
• Co-author, "The Act-Of-Production Privilege in SEC Proceedings," The Review of Securities & Commodities Regulation, Vol. 39, No. 1, January 4, 2006
• Author, "SEC Enforcement Actions: Show Me the Money," New York Law Journal, December 19, 2005
• Panelist, "How to Handle SEC Investigations from the Informal Investigation Stage to the Conclusion of the Wells Notice Process," Broker-Dealer Enforcement Conference, sponsored by American Conference Institute, October 24, 2005, New York City
• Co-chair, Broker/Dealer Information Management Conference, sponsored by American Conference Institute, March 17-18, 2005, New York City; Panelist, "Meeting Storage Requirements for E-Mail, Instant Messages, and Electronic Documents;" Panelist and Moderator, "Practical Solutions, Integrating a Compliant and Effective Data Management Program into Corporate Culture"
• Author, "The Tipper Benefit Test Under the Misappropriation Theory," New York Law Journal, August 15, 2003
• Author, "Broker-Dealer Regulations Concerning E-Mail," New York Law Journal, December 4, 2002

• New York Law School, J.D., cum laude, 1986, editor, N.Y.L.S. Journal of Int'l and Comp. Law; Honors Internship, New York Stock Exchange, Inc., Division of Enforcement, 1985; Internship, New York State Attorney General's Office, Investor Protection and Securities Bureau, 1984-1985
• University of Arizona, B.A., 1981

• State of Connecticut, 1986
• State of New York, 1987
• U.S. District Court, Southern District of New York, 1987
• U.S. District Court, Eastern District of New York, 1988
• U.S. Court of Appeals for the Second Circuit, 1991
• U.S. Supreme Court, 2007

• New York State Bar Association, Co-chair, Securities Subcommittee, White Collar Criminal Litigation Committee, Commercial and Federal Litigation Section
• Connecticut Bar Association
• Securities Industry and Financial Markets Association, Compliance and Legal Division