Experience

Seton Hall Preparatory School

• West Orange, New Jersey, United States

• Member Board of Trustees

  • Sep 2022 - Present



Morgan Stanley

• New York City Metropolitan Area

• Executive Director, Global Litigation

  • Jul 2015 - Present

  Oversee conduct of domestic and international institutional (sales, trading, investment banking, capital markets, private equity, data privacy, and investment management) regulatory enforcement actions (SEC, FINRA, DOJ, CFTC & State Attorneys General), civil litigation, and internal investigations. Oversee conduct of domestic and international institutional (sales, trading, investment banking, capital markets, private equity, data privacy, and investment management) regulatory enforcement actions (SEC, FINRA, DOJ, CFTC & State Attorneys General), civil litigation, and internal investigations.



Financial Industry Regulatory Authority

• New York, New York

• Principal Counsel, Department of Enforcement

  • Oct 2012 - Jul 2015

  Manage complex case load, as lead counsel, handling all aspects of investigations of member firms and associated individuals for violations of FINRA, NASD and NYSE rules and federal securities laws. Manage investigations, formulate investigative strategy, negotiate resolutions of high priority matters and engage in complex litigation on behalf of FINRA's Department of Enforcement. Draft memoranda of law, complaints/motions, settlement agreements and disciplinary disposition letters. Conduct on-the-record examinations of respondents and interview witnesses and member firm attorneys. Areas investigated include: anti-money laundering, market manipulation, sales practice, financial/operational, recordkeeping, reporting and supervisory deficiencies, adequacy of broker-dealer supervisory and operational polices and procedures, insider trading and violations of section 10b of the Securities and Exchange Act of 1934 and Rule 10b-5 thereunder. Show less



Genova Burns Giantomasi & Webster

• Associate

  • Jul 2010 - Sep 2012

  Provided counseling to business, government, and individual clients in connection with a wide array of matters, including commercial contract matters, corporation and partnership disputes, and business tort litigation. Represented businesses and individuals in connection with state and federal grand jury investigations and criminal trials. Provided counseling to business, government, and individual clients in connection with a wide array of matters, including commercial contract matters, corporation and partnership disputes, and business tort litigation. Represented businesses and individuals in connection with state and federal grand jury investigations and criminal trials.



Coughlin Duffy

• Commercial Litigation Associate

  • Jan 2007 - Jul 2010