Summary
Counsel clients in drafting operating agreements, incorporating broker-dealers and holding companies, and preparing the broker-dealer application for submission to the appropriate securities self-regulatory organization. For existing broker-dealers counsel clients on ongoing compliance, regulatory, and enforcement matters. Also represents clients in connection with regulatory audits, customer actions, and arbitrations.
Specialize in the area of broker-dealer regulation, compliance, and enforcement.
Education: Benjamin N. Cardozo School of Law, Yeshiva University, J.D., cum laude, 1994; Lafayette College, AB, 1992.
Year Admitted to the Bar: 1995