Expertise DescriptionI have 25 years of experience as a practicing attorney focusing on broker-dealers. My areas of expertise include: anti-money laundering; compliance program development and implementation; corporate governance; FINRA rules; fund formation; hedge funds; insurance; investment advising; the Investment Company Act of 1940; legal and regulatory compliance; marketing material revisions; mutual funds; private funds; public and private securities offerings; regulatory exams and inquiries; regulatory filings; the Security Act of 1933; the Securities Exchange Act of 1934; and third-party vendor due diligence. I have provided consultations, deposition, and courtroom testimony for more than 15 years as an insurance broker expert witness.
Areas of Expertise
|J.D.||Law||University of Louisville|
CAMS (Certified Anti-Money Laundering Specialist)
FINRA/NASD Series 4, 7, 24, 53, 63, 65, 66, 79, and 99
Arbitrator, Financial Industry Regulatory Authority (FINRA)
Bar Admissions: Indiana, Texas