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About Me

Former partner in private practice now offering compliance consulting services to the investment management industry.  And answering random questions on Avvo as time and interest permit. I like cigars, feel free to send me some. Best.


Photos and Videos

318420 1354211655

Practice Areas


  1. Financial Markets and Services: 50%
    20 years
  2. Securities Offerings: 25%
    20 years
  3. Federal Regulation: 25%
    20 years



Fixed (Always)

Payment Types:


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Contact Info

150 Broadway Rm 302
New York, NY, 10038


NYCurrently registered 200103/13/2015

Professional Misconduct

We have not found any instances of professional misconduct for this lawyer.
Avvo Contributions
Legal Answers
Award NameGrantorDate Granted
RecommendedLegal 5002003
Work Experience
TitleCompany NameDuration
General Counsel & DirectorAlaric Compliance Services, LLC2009 - Present
Association NamePosition NameDuration
NSCPN/A2011 - Present
Managed Funds AssociationN/A2009 - Present
Legal Cases
Case NameOutcome
SEC ExamNo further action (that's good).
See all Legal Cases 
Publication NameTitleDate
Global Securitization and Structured Finance 2005The Impact of Regulation AB and Securities Offering Reform on US Public ABS2005
School NameMajorDegreeGraduated
Coll of William & MaryN/AundergraduateN/A
Univ of Virginia SOLN/AlawN/A
Speaking Engagements
Conference NameTitleDate
SEC Investigation Response for Hedge Fund Managers: How to Prepare and Mistakes to AvoidSEC Investigations2012
The Harvard ClubShifting Landscape of the Regulatory Focus for Hedge Funds/Private Equity Funds2011
ASF Securitization InstituteABS/MBS Derivatives and Index Products - Concepts and Topics2008