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State | Status | Acquired | Updated |
---|---|---|---|
DC | Active | 1988 | 10/14/2017 |
VA | Authorized to Practice Law | 1987 | 01/19/2021 |
Legal answers | 0 |
Legal guides | 0 |
Award name | Grantor | Date granted |
---|---|---|
AV-Rated | N/A | N/A |
Publication name | Title | Date |
---|---|---|
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 |
School name | Degree | Graduated |
---|---|---|
University of Virginia School of Law | JD - Juris Doctor | 1987 |
University of Virginia School of Law | JD/MBA - Juris Doctorate and MBA | 1987 |
University of Virginia | BA - Bachelor of Arts | 1981 |
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