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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.

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318420 1354211655

Practice areas

Licensed

  1. Financial Services: 50%
    21 years
  2. Securities Offerings: 25%
    21 years
  3. Federal Regulation: 25%
    21 years

Payment

Fees:

Fixed (always)

Payment types:

Check

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Contact info

150 Broadway Rm 302
New York, NY, 10038

Resume

License
StateStatusAcquiredUpdated
NYCurrently registered 200103/07/2016
CAInactive199805/24/2016
We have not found any instances of professional misconduct for this lawyer.
Avvo contributions
Legal answers
Awards
Award nameGrantorDate granted
RecommendedLegal 5002003
Work experience
TitleCompany nameDuration
General Counsel & DirectorAlaric Compliance Services, LLC2009 - Present
Associations
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 
Publications
Publication nameTitleDate
Global Securitization and Structured Finance 2005The Impact of Regulation AB and Securities Offering Reform on US Public ABS2005
Education
School nameMajorDegreeGraduated
College of William and MaryN/AOther - BachelorsN/A
University of Virginia School of LawN/AJD - Juris DoctorN/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