I have a long career in the securities industry having started as a broker in 1983, auditing and investigating as a senior sales practice examiner at FINRA from 1985 to mid-2000, and practicing financial services law and consulting since 2000. My clients are primarily small and medium sized broker-dealers and investment advisors. Some operate as traditional employer-employee firms and some have an independent contractor styled business with geographically dispersed offices. Regardless of structure, all face similar challenges poised by the increasingly aggressive regulatory environment.
My life-long mission has been to work for the betterment of the industry, whether that has meant investigating allegations of wrongdoing or educating industry members on the rules and their importance, representing customers in order to recover losses at the hand of a negligent broker, or consulting with a firm on their practices and policies in order to strengthen their internal systems.
I am passionate about whatever has been entrusted to my care, and excellent work and satisfaction with my services are of paramount importance.