Bringing more than 25 years of legal and regulatory compliance experience within the financial services sector, this expert witness focuses on broker-dealer operations, investment adviser regulation, and securities compliance frameworks. Their background includes over 15 years of litigation-related involvement, including consultations, depositions, arbitration proceedings, and courtroom testimony, addressing regulatory compliance, industry practices, and financial services operations.

A Juris Doctor degree is supported by a bachelor’s degree in sociology and executive-level business education. This expert is a licensed attorney and an approved FINRA arbitrator, with prior certifications including anti-money laundering credentials and multiple FINRA regulatory licenses. They maintain active membership in organizations such as the American Bar Association and various state bar associations.

Their expertise includes the design, implementation, and evaluation of compliance programs, anti-money laundering systems, and supervisory control frameworks for broker-dealers, investment advisers, insurance companies, and investment funds. Their work encompasses regulatory filings, examinations, and enforcement inquiries, as well as governance, fiduciary obligations, marketing material review, and third-party vendor due diligence. Additional areas of focus include private and public securities offerings, hedge and mutual funds, and adherence to federal securities laws including the Securities Act of 1933 and the Securities Exchange Act of 1934.

In professional roles, this individual has served in senior leadership positions including chief legal counsel, chief compliance officer, and managing director, overseeing enterprise-wide compliance programs and regulatory strategy. Their experience also includes extensive expert witness and consulting work involving document review, e-discovery analysis, preparation of expert reports, and participation in arbitration hearings and court proceedings. They have testified in multiple arbitration hearings and court cases and have supported litigators nationwide in complex financial services disputes, reflecting deep expertise in regulatory compliance and industry practices.