About
Senior financial services compliance attorney who has served as a Chief Compliance…
Experience & Education
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MAI Capital Management
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Licenses & Certifications
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Global Affairs & Foreign Policy Institute - Spring 2023
World Affairs Council of Greater Houston
Issued -
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FINRA Series 7, 24, 55, 63 and 65 (former) | CF1 Director - FCA Approved Person (former)
Financial Industry Regulatory Authority (FINRA)
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State Bars Washington DC and Florida
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Volunteer Experience
Publications
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"Protecting Client Data"
Compliance Reporter
Guest Columnist
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"Inside the Japanese Stock Market: An Assessment"
American University International Law Review
Projects
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Panelist, Ascendant Compliance, “The New AML Rule for IA: How Will It Impact Your Firm?,” June 2017
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Panelist, PLI, Fundamentals of Broker/Dealer Regulation, June 2010, 2013, 2014, and 2015
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Panelist, IA Watch, IA Compliance Best Practices Summit, CCO Liability, March and November, 2013
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Panelist, NRS 28th Annual Spring IA BD Compliance Conference, Compliance Technology, May 2013
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Panelist, IA Watch, IA Compliance Best Practices Summit, SEC Exams, March 2012
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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
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Panelist, IA Watch, AML Programs Reloaded: Why Dodd-Frank May Change the Landscape for RIAs, September 2010
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Panelist, ALI-ABA, The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation, October 2009
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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
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Harvard Business School Case Competition
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Organizations
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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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