Licensed since 1988
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|Award Name||Grantor||Date Granted|
|PLI Course Materials||Broker Dealer Supervision||2006|
|Broker-Dealer Regulation||Duty to Supervise and Supervision of Registered Representatives’ Outside Business Activities||2006|
|ALI-ABA Course Materials||Broker-Dealer Compliance Programs inSEC/NASD Compliance||2005|
|Broker-Dealer Regulation||Duty to Supervise and Supervision of Registered Representatives’ Outside Business Activities||2005|
|Broker-Dealer Regulation||Duty to Supervise||2004|
|Broker-Dealer Regulation||Duty to Supervise and Supervision of Registered Representatives’ Outside Business Activities||2004|
|Journal of Investment Compliance||The Fair Valuation Mess||2003|
|Irwin Publishing||The Financial Services Revolution: Understanding the Changing Role of Banks, Insurance Companies, and Mutual Funds||1996|
|Ann. Rev. Banking Law||The Authority of National Banks to Invest Trust Assets in Bank-Advised Mutual Funds||1991|
|Unknown||The Regulatory Environment: Functional Regulation||N/A|
|Aspen Law & Business||Mutual Fund Activities of Banks||N/A|
|The Financial Services Revolution||Functional Regulation||N/A|
|University of Virginia School of Law||Law||JD - Juris Doctor||1987|
|University of Virginia School of Law||N/A||JD/MBA - Juris Doctorate and MBA||1987|
|University of Virginia||N/A||BA - Bachelor of Arts||1981|
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