• McDaniel College, B.A., 1980
    • The Catholic University of America, Columbus School of Law, J.D., 1985
    • Georgetown University Law Center, LL.M., 1989
    • District of Columbia
    • New York
    • American Bar Association, Federal Securities Law Committee of the Section of Business Law
    • Former Chair, Trading and Markets Subcommittee
    • FINRA Corporate Financing Rules Subcommittee
    • Hedge Funds Subcommittee
    • The Association of Securities and Exchange Commission Alumni
    • Board of Trustees, Securities and Exchange Commission Historical Society
    • Securities Industry and Financial Markets Association, Legal and Compliance Division
    • Derivatives-Related Regulatory Developments and Compliance Challenges — Private Fund Regulatory Developments and Compliance Challenges 2021 presented by the Practising Law Institute, Webcast (January 28, 2021)
    • SEC Standard of Conduct Rulemakings: Regulation Best Interest & Form CRS — Broker-Dealer Accounting Conference 2020 presented by the Center for Professional Education, Webinar (November 17, 2020)
    • Financial Services and Market Volatility in the Time of COVID — 2020 Virtual California Investment Management Symposium, Webcast (October 27, 2020)
    • FinTech 2020 — Practising Law Institute, Webcast (August 10, 2020)
    • SEC Hot Topics for Broker Dealers — Broker-Dealer Accounting Virtual Conference 2020, Webcast (June 16, 2020)
    • Private Fund Regulatory Developments and Compliance Challenges 2020  Presented by the Practising Law Institute, New York, NY (January 30, 2020)
    • SEC Standard of Conduct Rulemakings / Regulation BI (Best Interest) — 2019 Los Angeles Investment Management Symposium, Los Angeles, CA (November 21, 2019)
    • SEC Standard of Conduct Rulemakings / Regulation BI (Best Interest) — 2019 San Francisco Investment Management Symposium, San Francisco, CA (November 19, 2019)
    • Reg BI for Broker-Dealers — IRI VISION19 Conference, Charleston, SC (September 10, 2019)
    • FinTech 2019 — Presented by the Practising Law Institute, New York (August 12, 2019)
      What You Need to Know Now: SEC Standard of Conduct Rulemakings — Dechert LLP, Webinar (July 17, 2019)
    • Broker-Dealer Compliance Part I: Status and Exemptions from Registration – CLE Seminar Presented by Lawline, New York (June 17, 2019)
    • Broker-Dealer Compliance Part II: Suitability and Standard of Conduct CLE Seminar Presented by Lawline, New York (June 17, 2019) 
    • Broker-Dealer Compliance Part III: Execution and Trading Compliance – CLE Seminar Presented by Lawline, New York (June 24, 2019).
    • Broker-Dealer Compliance Part IV: Constructing a Supervisory and Compliance Program CLE Seminar Presented by Lawline, New York (June 24, 2019) 
    • Private Funds Nuts & Bolts: The Intersection of Capital Raising, Asset Management and Broker-Dealer Regulation — Dechert LLP, Webinar (May 8, 2019)
    • Blockchain Update for Investment Managers — 2018 Investment Management Symposium, Los Angeles (November 14, 2018)
    • Standards of Conduct Rulemaking / Advisers Act Update — 2018 Investment Management Symposium, Los Angeles (November 14, 2018)
    • Blockchain Update for Investment Managers — 2018 Investment Management Symposium, San Francisco (November 13, 2018)
    • Standards of Conduct Rulemaking — 2018 Investment Management Symposium, San Francisco (November 13, 2018)
    • Shedding Light on Dark Pools – The SEC Acts to Increase Transparency and Oversight of Alternative Trading Systems — Presented by the Practising Law Institute, Washington D.C. (October 25, 2018)
    • Bitcoin + 10: Ten Years of Virtual Currencies and Blockchain — New York, NY (October 11, 2018)
    • Hedge Funds Nuts & Bolts: Brexit for Hedge Fund Managers – 6 months and Counting — (October 10, 2018)
    • Political Contributions and “Pay-to-Play” — Presented by the Regulatory Compliance Association (September 19, 2018)
    • FinTech 2018 — Presented by The Practising Law Institute, New York, NY (August 13, 2018)
    • Protecting Older Investors: What You Need to Know About the Senior Safe Act — Presented by the Insured Retirement Institute, Webinar (June 27, 2018)
    • Action18 — Presented by the Insured Retirement Institute, Washington D.C. (May 9, 2018)
    • Cryptocurrency and Blockchain Technology for Private Funds — 2018 Global Alternative Funds Symposium, New York, NY (May 2, 2018)
    • Private Fund Regulatory Developments and Compliance Challenges 2018 — Presented by The Practising Law Institute, New York, NY (January 31, 2018)
    • SEC Inspections and Examinations of Private Hedge and Equity Funds  — Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017 presented by the Practising Law Institute, New York, NY (November 30, 2017)
    • Private Funds Track — 2017 San Francisco Investment Management Symposium, San Francisco (November 28, 2017)
    • FinTech: The Future is Now — 2017 San Francisco Investment Management Symposium, San Francisco (November 28, 2017)
    • Hedge Funds Nuts & Bolts: Cryptocurrency Funds — Dechert LLP, Webinar (November 8, 2017)
    • Business Skills Institute | Corporate Counsel University — CLE Seminar Presented by the Greater Philadelphia ACC, Philadelphia, PA (September 19, 2017)
    • FinTech 2017 — Presented by the Practising Law Institute, New York, NY (August 16, 2017)
    • Navigating U.S. Broker-Dealer Registration Requirements and Exemptions: Options for Private Funds - London, UK (June 28, 2017)
    • Rules and Best Practices to Prevent the Exploitation of Older Investors — IRI's Government, Legal & Regulatory Conference 2017, Washington, D.C. (June 13, 2017)
    • What Non-US Asset Managers Need to Know about US Broker-Dealer Regulation — Dechert LLP, Webinar HKT (June 22, 2017)
    • Current Developments Affecting the Fund Industry — ICI Breakfast Briefing, Palm Desert, CA (March 14, 2017)
    • Private Fund Regulatory Developments and Compliance Challenges 2017 — Presented by the Practising Law Institute, New York, NY (January 11, 2017)
    • Current Regulatory Issues Affecting Private Funds — Hedge and Private Fund Enforcement & Regulatory Developments 2016 presented by the Practising Law Institute, New York (December 1, 2016)
    • Compensation Planning Journal Advisory Board Meeting — Presented by Bloomberg BNA, New York, NY (November 15, 2016)
    • DOL’s ERISA Fiduciary Rules Remake the World — 2016 San Francisco Investment Management Symposium, San Francisco (November 9, 2016)
    • Roundtable: Solving Private Equity’s Broker-Dealer Compliance Challenge — Webinar (November 1, 2016)
    • Untamed Wilds: Assessing FinTech Proliferation in the Current Regulatory Climate — Regulation of Financial Services 2016: Navigating an Evolving Regulatory Landscape presented by the Thomson Reuters Legal Executive Institute, Washington, D.C. (June 8, 2016)
    • Rules and Best Practices for Preventing Exploitation of Older Investors — IRI Government Legal & Regulatory Conference 2016, Washington, D.C. (June 6, 2016)
    • Regulator Roundtable: Initiatives to Educate and Protect Older Americans — Older Investors Summit 2016 presented by the Insured Retirement Institute, New York, NY (February 11, 2016)
    • Private Fund Regulatory Developments and Compliance Challenges 2016 — Presented by the Practising Law Institute, New York (January 13, 2016)
    • Current Regulatory Issues Affecting Private Funds — Hedge and Private Fund Enforcement & Regulatory Developments 2015 presented by the Practising Law Institute, New York, NY (November 19, 2015)
    • Lawyers Council Spring Meeting, Enforcement and Settlement Principles in the New Era: Private Practitioners' Views — Financial Services Roundtable (May 14, 2015)
    • Hedge Fund Compliance & Regulatory Challenges 2015 — Practicing Law Institute (January 7, 2015)
    • Hedge and Private Fund Enforcement & Regulatory Developments 2014 — Practicing Law Institute (November 18, 2014)
    • Regulators' Focus on High Frequency Trading and U.S. Market Structure Continues; It's No Flash in the Pan — Practicing Law Institute (July 22, 2014)
    • Broker-Dealer Regulation, Compliance, and Enforcement Briefing — America Law Institute (January 1, 2014)
    • SEC & FINRA Examinations of Broker-Dealers: Priorities & Hot Issues — Association of the New York City Bar and the District of Columbia Bar Association (October 1, 2013)
    • 2013 Lawyers Council Spring Meeting, CFTC-SEC Update — Financial Services Roundtable (May 2, 2013)
    • Securities Caucus, SEC Update — Financial Services Roundtable (March 21, 2013)
    • Hedge Fund Enforcement & Regulatory Developments Winter 2013 — Practicing Law Institute (March 6, 2013)
    • Hedge Fund Compliance & Regulation 2013 — Practicing Law Institute (January 29, 2013)