We help firms protect their reputation and minimize regulatory issues through great compliance programs. We make "house calls" meaning go on-site and work with all types of employees to familiarize them with SEC and FINRA examiners. We help Chief Compliance Officers with easy compliance programs to implement in their firm.
Member of the Massachusetts and Pennsylvania Bar since 1988
Working in the financial industry for 29 years - SEC; The Boston Company; Investors Bank; Brown & Associates LLC, FINRA arbitrator (since 1995)
Coordinator of the Boston Compliance Group (since 1993)
Author of many articles on Compliance Programs and the Role of the Chief Compliance Officer
Speaker on many topics such as Cybersecurity; Personal Trading Programs; Compliance for employees
Expert available for litigation involving mutual funds, hedge funds, private funds and compliance programs
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