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
- 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
- Associate Director
- Deputy Chief Litigation Counsel
- Assistant Chief Litigation Counsel
- Branch Chiefs
- Senior Counsel
- Senior Trial Counsel, Southeast Regional Office
- Attorney Advisor
- Attorney, Legal Division, Supervision & Legislation Branch
- Chief Counsel and Deputy Director
Division of Trading & Markets
Division of Enforcement
Office of Chief Counsel, Office of Compliance
Inspections and Examinations
Federal Deposit Insurance Corporation (FDIC)
Financial Industry Regulatory Authority (FINRA)
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, District of Columbia, Criminal Division
- 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
- Assistant U.S. Attorney, Southern District of New York, Civil Division
- Special Counsel, Select Committee on Ethics, in investigation of sitting U.S. Senator
- Chief Trial Attorney, Division of Enforcement
- Senior Trial Attorney, Division of Enforcement
- General Counsel
- Attorney and Excelsior Fellow
U.S. Senate
U.S. Commodity Futures Trading Commission
New York State Department of Financial Services
...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
- Senior Vice President at Citi
- Director and Senior Litigation Attorney at Citigroup Global Markets
- Head of Fixed Income at Citigroup Global Markets
- Managing Director at Citigroup Global Markets
- Interim CRO and Member of the Board of Directors of DirectEdge affiliated exchanges
- Senior Legal Counsel at Goldman Sachs
- General Counsel at Instinet
- General Counsel at Knight Capital Group
- Managing Director in the Global Equities Division at Merrill Lynch
- Financial Analyst at Merrill Lynch
- Financial Advisor at Morgan Stanley Dean Witter
- Vice President, Chief Compliance Counsel, Salomon Brothers
- Senior Vice President, Global Compliance, Charles Schwab
- Head of Litigation Department at Shearson Lehman Brothers
- President of SIA (now SIFMA) Compliance and Legal Division
- Deputy General Counsel at UBS Financial Services
- 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)