Compliance & Enforcement

Compliance

I can assist you in developing and maintaining a securities and commodity futures compliance system, so that you and your firm pass any audit or examination by the regulators. In the event that the audit or examination results in the initiation of an enforcement inquiry or investigation, I have both initiated such investigations and defended clients throughout the investigative process to instituting remedial measures towards an acceptable disposition with the regulator.

Enforcement

I have initiated a variety of enforcement proceedings, at the beginning of my career including:

  • Defense of disciplinary, administrative and other enforcement types of proceedings.
  • Civil injunctive and related proceeding.
  • Criminal referrals.

Now, I am on the “other side,” and defend individuals and firms named as Defendants / Respondents in such proceedings. As Judy Collins sang:

"I’ve looked at clouds from both sides now…"

Judy Collins "Both Sides Now"

My background and experience in initiating enforcement proceedings and now defending them allows me to see both sides of the process which inures to your benefit.

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Other Practice Areas

Arbitration & Mediation

If you are involved in a dispute involving Securities and Commodity Futures, I have handled close to 100 such cases. I will guide you through the process of arbitration or mediation up to and including litigation and administrative proceedings, if necessary.

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Expert Witness Services

Depending on the nature of the case and my experience with the domain, I sometimes act as an expert witness on securities and commodity futures issues. If the role would be better served by another witness I will help you find that person.

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