Balancing Government and Regulatory Perspectives with Business Experience
We don’t just bring a legal point of view to our work. Our team of professionals includes a number of attorneys who have served in senior positions with various government and regulatory agencies. Among them:
U.S. Securities and Exchange Commission
Office of the Chairman
- Executive Assistant to Chairman
- Senior Counsel for Market Regulation to Chairman
- Senior Associate Director for Trading Practices and Processing
- Senior Associate Director for Market Supervision
- Attorney Fellow in the Division of Market Regulation
- Assistant Director for Trading Practices
- Branch Chief for Broker-Dealer Financial Responsibility
- Branch Chief
- Senior Special Council
- Chief Counsel
- Associate Director
- Deputy Chief Litigation Counsel
- Assistant Chief Litigation Counsel
- Branch Chiefs
- Senior Counsel
- Senior Trial Counsel, Southeast Regional Office
- Attorney Advisor
- Attorney, Legal Division, Supervision & Legislation Branch
Division of Trading & Markets
Division of Enforcement
Office of Chief Counsel, Office of Compliance
Inspections and Examinations
Federal Deposit Insurance Corporation (FDIC)
Financial Industry Regulatory Authority (FINRA)
- Chief Counsel and Deputy Director
- Assistant Chief, Fraud Section, Criminal Division
- Assistant U.S. Attorney, District of Columbia, Senior Litigation and Health Care Fraud Coordinator, Fraud and Public Corruption Section
- Assistant U.S. Attorney, District of Columbia, Fraud and Public Corruption Section
- Assistant U.S. Attorney, Southern District of New York, Securities and Commodities Fraud Task Force
- Assistant U.S. Attorney, Southern District of New York, Complex Frauds and Cybercrime Unit
- Assistant U.S. Attorney, Southern District of New York, Civil Division
- Branch Chief, Assistant U.S. Attorney, District of Connecticut
- Chief Trial Attorney, Division of Enforcement
- Senior Trial Attorney, Division of Enforcement
- General Counsel
- Chief, UN Anti-Corruption Unit
- Chairman and Chief of Unit, United Nations Procurement Task Force
U.S. Department of Justice
U.S. Commodity Futures Trading Commission
New York State Department of Financial Services
United Nations
...While Bringing Hands-on Industry Experience
Our attorneys have also served in various capacities within the financial services industry, including:
- Executive Vice President of Archipelago Holdings
- Director and Assistant General Counsel at Bank of America
- Global Head of Prime Securities Compliance at Barclays Capital
- Managing Director, Compliance for Fixed Income, Derivatives, and Emerging Markets Compliance at Citi Global Markets
- Senior Vice President at Citi
- Director and Senior Litigation Attorney at Citigroup Global Markets
- Interim CRO and Member of the Board of Directors of DirectEdge affiliated exchanges
- Senior Legal Counsel at Goldman Sachs
- Deputy Head of Internal Investigations, HSBC
- General Counsel at Instinet
- General Counsel at KGS-Alpha Capital Markets, L.P.
- General Counsel at Knight Capital Group
- Managing Director in the Global Equities Division at Merrill Lynch
- Director of Global Regulatory Affairs at Merrill Lynch
- Financial Analyst at Merrill Lynch
- Financial Advisor at Morgan Stanley Dean Witter
- Vice President, Chief Compliance Counsel, Salomon Brothers
- Senior Vice President, Global Compliance, Charles Schwab
- Head of Litigation at Shearson Lehman Brothers
- President of SIA (now SIFMA) Compliance and Legal Division
- Deputy General Counsel at UBS Financial Services
- President of Wave Securities
- Associate General Counsel, Chicago Board Options Exchange
- Vice President, Regulatory Risk Group, New York Stock Exchange
- Chief Regulatory Officer at NYSE Liffe U.S. (a CFTC-registered futures exchange)
- Vice President, large private equity firm