Brokerage Industry: I have over 30 years serving the participants in the financial services industry – brokers, traders, and money managers. I learned the field serving 5 and 1/2 years at the SEC's Divisions of Trading and Markets and Enforcement in Washington, D. C. At the SEC: I drafted rules on broker-dealer operations, finances and trading practices; investigated and brought numerous enforcement actions; conducted the first ever SEC inspection of the New York Stock Exchange; and was one of the draftsmen of the Unsafe and Unsound Practices Report and the rules adopted in response thereto.

After the SEC, I was with a number of Wall Street law firms, served as in house counsel to a company that serviced the securities industry and was with smaller law firms before starting my own practice. I have: helped brokerage firms start up, register with the SEC, become FINRA members, and join NSCC, DTC, stock exchanges, and OCC; represented firms in their continuing membership applications; drafted compliance manuals, anti-money laundering compliance manuals, and business continuity policies. My clients have included brokerage firms with a retail business, institutional business, arbitrage trading, agency trading and private placement, merger & acquisition business. One client was facing what looked like a $1 million AWC that we resolved with a letter of admonition, changes in the firm's written supervisory policy and a rule change by FINRA to reflect how the client conducted its business.

I helped another client set up referral arrangements for private placements and mergers and acquisitions with several regional banks. Another client was one of the first to set up an off the floor execution service from its floor booth. I have worked with others on their soft dollar practices and related agreements.

Financial Services: While in-house counsel, I presented a banking subsidiary that was the trustee for an IDB backed by a large grocery warehouse complex. The debtor went bankrupt. I resolved the matter by selling the complex in a sale that restructured the bonds so they kept their tax exempt status and recouped principal for the bondholders, as well as getting my firm's expenses, including my fees, reimbursed with interest.

Investment Management: I represented the trustee of two of the earliest exchange traded funds in their formation, SEC registration and exemption orders from the SEC as well as their exchange listing. I also serve as counsel to the independent trustees of a mutual fund complex.

I serve my clients' interests with more than just technical legal counsel. Clients have retained me, from their formation, and some have worked with him for over 25 years. I return client calls and emails on the same day.

Web site: www.securitiesregslawyer.com

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