Cleveland, Ohio, United States
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About

Senior financial services compliance attorney who has served as a Chief Compliance…

Experience & Education

  • MAI Capital Management

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Licenses & Certifications

Volunteer Experience

Publications

Projects

  • Panelist, Ascendant Compliance, “The New AML Rule for IA: How Will It Impact Your Firm?,” June 2017

  • Panelist, PLI, Fundamentals of Broker/Dealer Regulation, June 2010, 2013, 2014, and 2015

  • Panelist, IA Watch, IA Compliance Best Practices Summit, CCO Liability, March and November, 2013

  • Panelist, NRS 28th Annual Spring IA BD Compliance Conference, Compliance Technology, May 2013

  • Panelist, IA Watch, IA Compliance Best Practices Summit, SEC Exams, March 2012

  • Panelist, IA Week Webinar, “A CCO’s Guide to the Three New Dodd-Frank Rules Affecting Investment Advisers: What the Rules Say and What They Mean for All RIAs,” August 2011

  • Panelist, IA Watch, AML Programs Reloaded: Why Dodd-Frank May Change the Landscape for RIAs, September 2010

  • Panelist, ALI-ABA, The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation, October 2009

  • Panelist, New York City Bar Association, Insurance Regulation in 2009, April 2009

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  • US SEC/FINRA Broker/Dealer CCO Outreach Seminar, July 2009

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Honors & Awards

  • Harvard Business School Case Competition

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Organizations

  • FINRA Arbitration Chairman and Arbitration Panelist

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  • National Society of Compliance Professionals (NSCP) – Investment Adviser Ad-Hoc Committee

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