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
        • Division of Enforcement

          • Associate Director
          • Deputy Chief Litigation Counsel
          • Assistant Chief Litigation Counsel
          • Senior Trial Counsel, Southeast Regional Office
          • Branch Chiefs
          • Senior Counsel
            • Federal Deposit Insurance Corporation (FDIC)

              • Attorney, Legal Division, Supervision & Legislation Branch

U.S. Department of Justice

  • Assistant U.S. Attorney, Southern District of New York, Securities and Commodities Fraud Task Force
  • Assistant U.S. Attorney, District of Columbia, Senior Litigation Counsel and Health Care Fraud Coordinator, Fraud and Public Corruption Section
  • Assistant U.S. Attorney, District of Columbia, Major Crimes Section, Fraud Section
  • Assistant Chief, Fraud Section, Criminal Division
    • U.S. Senate

      • Special Counsel, Select Committee on Ethics, in investigation of sitting U.S. Senator
        • U.S. Commodity Futures Trading Commission

          • Chief Trial Attorney, Division of Enforcement
          • Enforcement Trial Attorney
          • Chief Regulatory Officer, NYSE Liffe US, a CFTC-registered futures exchange
            • Financial Industry Regulatory Authority (FINRA)

              • Chief Counsel and Deputy Director
                • New York State Department of Financial Services (DFS)

                  • General Counsel

...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
  • 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
  • Group Executive and Senior Associate General Counsel at MasterCard Worldwide
  • Managing Director in the Global Equities Division at Merrill Lynch
  • Director of Global Regulatory Affairs at Merrill Lynch
  • Financial Analyst at Merrill Lynch
  • Financial Advisor at Morgan Stanley Dean Witter
  • Head of Litigation Department at PaineWebber
  • Head of Litigation Department at Shearson Lehman Brothers
  • President of SIA (now SIFMA) Compliance and Legal Division
  • Managing Director and General Counsel Litigation at UBS Financial Services
  • Deputy General Counsel at UBS Financial Services
  • President of Wave Securities