- Broker-Dealer Advisory & Counseling
- Independent Monitoring & Independent Consulting
- International Advisory
- Investment Advisory
- Trading & Markets Counseling
- J.D., cum laude, Fordham University School of Law, 1974
- B.A., Political Science, Fordham University, 1968
- New York
- U.S. Court of Appeals, Second Circuit
- U.S. District Court, Eastern District of New York
- U.S. District Court, Southern District of New York
Seminars and Presentations
SIFMA’s C&L Annual Seminar is the premier event for compliance and legal professionals working in the financial services industry. Industry leaders and regulators to gather for three days of information sharing, networking and collaboration.
You are invited to join Hannah Berkowitz, James Dombach and Paul Merolla of Murphy & McGonigle, along with guest instructors Guy Miller of Citadel Securities and Etienne Barg-Townsend of KGS-Alpha Capital Markets, L.P., for a breakfast CLE program. We will review the regulatory landscape relevant to best execution, mark-ups and customer communications and will offer practical insight and tips on these important regulatory issues.
SIFMA Compliance and Legal Division Annual Seminar, Phoenix, Arizona, “Ethical Issues for the Securities Lawyer” Panel.
"Ethics for the Business Attorne", SIFMA Compliance and Legal Division Annual Seminar
"Electronic Communications" SIFMA Compliance and Legal Division Annual Seminar Panel - The Compliance and Legal Division of the Securities Industry and Financial Markets Association (SIFMA-CL) held their 2009 Annual Seminar in Phoenix, Arizona on March 22 through March 25.
“Capital Markets - Trading Issues for the Global Firm” Panel, SIFMA Compliance and Legal Division New York Fall Compliance Seminar.