Balancing Government and Regulatory Perspectives with Business Experience

We don’t just bring a legal point of view to our work. Our team of professionals includes a number of attorneys who have served in senior positions with various government and regulatory agencies. Among them:

U.S. Securities and Exchange Commission

Office of the Chairman

  • Executive Assistant to Chairman
  • Senior Counsel for Market Regulation to Chairman

      • Division of Trading & Markets

      • Senior Associate Director for Trading Practices and Processing
      • Senior Associate Director for Market Supervision
      • Attorney Fellow in the Division of Market Regulation
      • Assistant Director for Trading Practices
      • Branch Chief for Broker-Dealer Financial Responsibility
      • Branch Chief
      • Senior Special Counsel

          • Division of Enforcement

          • Chief Counsel
          • Associate Director
          • Deputy Chief Litigation Counsel
          • Assistant Chief Litigation Counsel
          • Branch Chiefs

              • Office of Chief Counsel, Office of Compliance
              Inspections and Examinations

              • Attorney Advisor

Federal Deposit Insurance Corporation (FDIC)

  • Attorney, Legal Division, Supervision & Legislation Branch

      • Financial Industry Regulatory Authority (FINRA)

      • Chief Counsel and Deputy Director

          • U.S. Department of Justice

          • Assistant Chief, Fraud Section, Criminal Division
          • Assistant U.S. Attorney, District of Columbia, Senior Litigation and Health Care Fraud Coordinator, Fraud and Public Corruption Section
          • Assistant U.S. Attorney, District of Columbia, Fraud and Public Corruption Section
          • Assistant U.S. Attorney, Southern District of New York, Securities and Commodities Fraud Task Force
          • Assistant U.S. Attorney, Southern District of New York, Complex Frauds and Cybercrime Unit

              • U.S. Commodity Futures Trading Commission

              • Chief Trial Attorney, Division of Enforcement
              • Senior Trial Attorney, Division of Enforcement
              • Advisor to Director of Enforcement

...While Bringing Hands-on Industry Experience

Our attorneys have also served in various capacities within the financial services industry, including:

  • Executive Vice President of Archipelago Holdings
  • Director and Assistant General Counsel at Bank of America
  • Global Head of Prime Securities Compliance at Barclays Capital
  • Counsel, Charles Schwab
  • Managing Director, Compliance for Fixed Income, Derivatives, and Emerging Markets Compliance at Citi Global Markets
  • Senior Vice President at Citi
  • Director and Senior Litigation Attorney at Citigroup Global Markets
  • Interim CRO and Member of the Board of Directors of DirectEdge affiliated exchanges
  • Deputy Head of Internal Investigations, HSBC
  • General Counsel at KGS-Alpha Capital Markets, L.P.
  • General Counsel at Knight Capital Group
  • Financial Analyst at Merrill Lynch
  • Counsel to Chief Compliance Officer, Morgan Stanley
  • Financial Advisor at Morgan Stanley Dean Witter
  • Vice President, Chief Compliance Counsel, Salomon Brothers
  • Senior Vice President, Global Compliance, Charles Schwab
  • Head of Litigation at Shearson Lehman Brothers
  • President of SIA (now SIFMA) Compliance and Legal Division
  • Deputy General Counsel at UBS Financial Services
  • President of Wave Securities
  • Associate General Counsel, Chicago Board Options Exchange
  • Vice President, Regulatory Risk Group, New York Stock Exchange
  • Chief Regulatory Officer at NYSE Liffe U.S. (a CFTC-registered futures exchange)
  • Vice President, large private equity firm