Representative Matters

  • Review and revision of firm’s policies and procedures, Codes of Ethics and training programs.
  • Monitored compliance of client’s undertakings in SEC settlement agreements, and assisted clients in development and implementation of revised compliance policies/procedures, including supervision matters.
  • Counseled senior management and CCOs in meeting examination challenges and coordinating responses to document requests and reviews of internal risk assessments.
  • Advised clients in a wide range of securities and advisory issues affecting broker-dealers, investment advisers and hedge funds, including supervisory, back-office/operations matters, and regulatory compliance affecting officers, directors, employees, independent contractors and staff.
  • Represented producer teams and individuals in Broker Protocol transitions, prosecuting and defending cease and desist actions, including protocol training, review of compensation packages forfeited and negotiation of new compensation arrangements.
  • Addressed termination disclosures and State/FINRA registration issues.
  • Registration and disclosure matters with state insurance departments
  • Advised clients on carrier due diligence and selection, policy coverage, for D & O, E & O, fidelity bonds, and renewal/disclosure matters.
  • Debt/Equity underwritings and private placements

Cyber Security & Data Privacy Representative Matters

  • Assisted clients in the development and implementation of Cybersecurity policies/procedures, including data breach plans, risk assessments, providing advice on breach notification requirements under state and federal law, training programs and coordination of breach notices with client staff.
  • Worked with clients to evaluate and select ‘best of breed’ technical services vendors and consultants.
  • Prepared and negotiated agreements involving privacy data security, IT services and consulting contacts.
  • Provided advice to clients on federal and state governmental regulations, NIST developments, compliance obligations and litigation matters.
  • Defended financial industry clients during investigations involving hacking, imposters, data security threats and breaches and resolutions.
  • Maintains currency with federal and state data privacy regulations and statutes.

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Education & Admissions

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