With over 16 years of experience providing strategy and support through all stages of litigation, I have a keen instinct for finding creative ways to contribute effectively to legal strategies.
Regulatory Compliance Professional (CRCP) certification awarded in December 2016 from FINRA’s Wharton Institute enhances skills in protecting the economic security of consumers with an informed view of the industry's perspective on regulatory initiatives and an appreciation of necessary capital formation goals.
Possesses a deep understanding of anti money laundering policies in domestic and international contexts, cross-border jurisdictional and enforcement challenges, evolving standards concerning broker and adviser duties relating to proprietary product offerings, and regulations concerning communications with the public.
Extensive expert witness experience including taking expert depositions and working with experts to develop compelling reports. Substantial first chair trial and appearance experience including multi-day FINRA arbitrations, scores of hearings before administrative law judges, and appearances before state attorneys general and securities regulators.
Strategic Legal & Business Planning | Domestic & International Regulatory Financial Compliance | Claims Assessment | Data Privacy & Securities Compliance | Mergers and Acquisitions | Contract Negotiations | Advocacy | Arbitration | Cost Reduction Strategies | Corporate Governance | Legal Research | Document Management | Claims Management | Non-Profits and Charitable Foundations