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
- Senior Trial Counsel, Southeast Regional Office
- Branch Chiefs
- Senior Counsel
- Attorney, Legal Division, Supervision & Legislation Branch
Division of Trading & Markets
Division of Enforcement
Federal Deposit Insurance Corporation (FDIC)
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
- Special Counsel, Select Committee on Ethics, in investigation of sitting U.S. Senator
- Chief Trial Attorney, Division of Enforcement
- Enforcement Trial Attorney
- Chief Regulatory Officer, NYSE Liffe US, a CFTC-registered futures exchange
- Chief Counsel and Deputy Director
- General Counsel
U.S. Senate
U.S. Commodity Futures Trading Commission
Financial Industry Regulatory Authority (FINRA)
New York State Department of Financial Services (DFS)
...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