My philosophy is very simple and focused. It is client centric. My job
when retained is to navigate my client through a very complex highstakes
regulatory process to reach the best resolution possible.
That includes no charges being brought or could include or may result in
settlement when the circumstances dictate. In that situation, my job is to
secure the best possible settlement under the best possible terms. So I am a problem solver at the end of the day
with the requirement that I utilize my knowledge and experience to get the best result for the client given the circumstances.
My background consists of starting at a big law law firm Greenberg Troy right out of law school where I did securities
defense work. Thereafter, I joined the Securities and Exchange Commission in its uh enforcement division as senior
counsel. I also spent a year on loan from the SEC to the Department of Justice and was sworn in as a special
assistant United States attorney to criminally prosecute securities fraud cases, thus providing me a unique
insight on how the Department of Justice investigates and prosecutes criminal securities fraud.
Thereafter I was with a small boutique firm where I started to do SEC defense work and for the last over 25 years have
been representing individuals and companies in SEC investigations.