Securities, Corporate and Government Affairs Partner

• Apr 2013 - Present

One area of primary focus in my practice is the broad spectrum of issues in the securities arena, including securing effective resolutions in sensitive state, federal and SRO enforcement actions. I have extensive experience with multi-jurisdictional regulatory investigations, and assist clients in responding to routine compliance examinations and for-cause audits. I regularly assist clients with day-to-day compliance matters in the highly regulated broker-dealer and investment adviser industry.… Show more One area of primary focus in my practice is the broad spectrum of issues in the securities arena, including securing effective resolutions in sensitive state, federal and SRO enforcement actions. I have extensive experience with multi-jurisdictional regulatory investigations, and assist clients in responding to routine compliance examinations and for-cause audits. I regularly assist clients with day-to-day compliance matters in the highly regulated broker-dealer and investment adviser industry. I am also active in the emerging companies community, working closely with entrepreneurs and founders of start-ups and growing companies. I assist these clients in establishing ownership structures; raising capital through angel investors,venture capital and private equity firms; handling business arrangements and joint ventures with outside parties; protecting intellectual property and trade secrets; and planning for management and succession. Additionally, I counsel clients on officer and director guidance, non-compete and non-disclosure agreements, mergers and acquisitions, and related corporate operations and strategies. I also use my experience as securities commissioner to counsel clients on registration and exemption options for small businesses, new debt and equity issues, and additional-round offerings. I assist businesses regarding disclosure requirements in connection with public and private securities offerings, and securing registration for the same. I am also well-versed in Missouri and federal securities laws related to private placements through Regulation D and Regulation A, including recent changes through the JOBS Act, as well as the developing opportunities in Crowdfunding at both the federal and state levels. I also counsel clients on strategies and structures for private and special funds and advisers to funds. Show less One area of primary focus in my practice is the broad spectrum of issues in the securities arena, including securing effective resolutions in sensitive state, federal and SRO enforcement actions. I have extensive experience with multi-jurisdictional regulatory investigations, and assist clients in responding to routine compliance examinations and for-cause audits. I regularly assist clients with day-to-day compliance matters in the highly regulated broker-dealer and investment adviser industry.… Show more One area of primary focus in my practice is the broad spectrum of issues in the securities arena, including securing effective resolutions in sensitive state, federal and SRO enforcement actions. I have extensive experience with multi-jurisdictional regulatory investigations, and assist clients in responding to routine compliance examinations and for-cause audits. I regularly assist clients with day-to-day compliance matters in the highly regulated broker-dealer and investment adviser industry. I am also active in the emerging companies community, working closely with entrepreneurs and founders of start-ups and growing companies. I assist these clients in establishing ownership structures; raising capital through angel investors,venture capital and private equity firms; handling business arrangements and joint ventures with outside parties; protecting intellectual property and trade secrets; and planning for management and succession. Additionally, I counsel clients on officer and director guidance, non-compete and non-disclosure agreements, mergers and acquisitions, and related corporate operations and strategies. I also use my experience as securities commissioner to counsel clients on registration and exemption options for small businesses, new debt and equity issues, and additional-round offerings. I assist businesses regarding disclosure requirements in connection with public and private securities offerings, and securing registration for the same. I am also well-versed in Missouri and federal securities laws related to private placements through Regulation D and Regulation A, including recent changes through the JOBS Act, as well as the developing opportunities in Crowdfunding at both the federal and state levels. I also counsel clients on strategies and structures for private and special funds and advisers to funds. Show less

Vice President

• Nov 2016 - Present

AT Government Strategies LLC (ATGS), a subsidiary of Armstrong Teasdale LLP, provides full-service government relations and strategic counsel to advance the business objectives of companies, industry associations and other professional entities. Our bipartisan team of public policy lawyers, lobbyists and political consultants has a long track record of success helping shape legislation and regulations on behalf of clients at the federal, state and local levels of government. Our diverse… Show more AT Government Strategies LLC (ATGS), a subsidiary of Armstrong Teasdale LLP, provides full-service government relations and strategic counsel to advance the business objectives of companies, industry associations and other professional entities. Our bipartisan team of public policy lawyers, lobbyists and political consultants has a long track record of success helping shape legislation and regulations on behalf of clients at the federal, state and local levels of government. Our diverse and experienced professionals use various legislative, regulatory and executive branch strategies at all levels of government in advancing our clients’ interests, including the design and implementation of issue, public relations and media campaigns, backing our clients' ultimate objectives. We immerse ourselves in key issues, political activities, and legislative developments relevant to our engagements to best advise and counsel clients who are affected by or interested in governmental affairs at any level. Show less AT Government Strategies LLC (ATGS), a subsidiary of Armstrong Teasdale LLP, provides full-service government relations and strategic counsel to advance the business objectives of companies, industry associations and other professional entities. Our bipartisan team of public policy lawyers, lobbyists and political consultants has a long track record of success helping shape legislation and regulations on behalf of clients at the federal, state and local levels of government. Our diverse… Show more AT Government Strategies LLC (ATGS), a subsidiary of Armstrong Teasdale LLP, provides full-service government relations and strategic counsel to advance the business objectives of companies, industry associations and other professional entities. Our bipartisan team of public policy lawyers, lobbyists and political consultants has a long track record of success helping shape legislation and regulations on behalf of clients at the federal, state and local levels of government. Our diverse and experienced professionals use various legislative, regulatory and executive branch strategies at all levels of government in advancing our clients’ interests, including the design and implementation of issue, public relations and media campaigns, backing our clients' ultimate objectives. We immerse ourselves in key issues, political activities, and legislative developments relevant to our engagements to best advise and counsel clients who are affected by or interested in governmental affairs at any level. Show less

Board of Regents

• Aug 2016 - Feb 2017

Adjunct Professor

• Sep 2011 - Oct 2015

Commissioner of Securities

• Dec 2005 - Dec 2012

I was the youngest securities commisisoner in the United States when I was appointed by Secretary of State Robin Carnahan in December 2005. In my seven years in that position, I led investor protection efforts resulting in more than $2.3 billion in restitution for aggrieved investors while also restructuring the Division and building a team of dedicated, resourceful attorneys and professionals. At the national level, I assumed leadership positions by chairing the national Auction Rate… Show more I was the youngest securities commisisoner in the United States when I was appointed by Secretary of State Robin Carnahan in December 2005. In my seven years in that position, I led investor protection efforts resulting in more than $2.3 billion in restitution for aggrieved investors while also restructuring the Division and building a team of dedicated, resourceful attorneys and professionals. At the national level, I assumed leadership positions by chairing the national Auction Rate Securities Investigations Task Force for the North American Securities Administrators Association (NASAA), and also by chairing NASAA's Dodd-Frank Studies Working Group and NASAA's Enforcement Section (2010-2012), and eventually serving on NASAA's Board of Directors.

Director of Corporations

• Jan 2005 - Dec 2005

I managed the business unit in the Secretary of State's office responsible for overseeing the formation and maintenance of Missouri's statutory business entities, such as corporations, limited liability companies, certain partnerships and non-profit corporations. In this role, I also served as counsel to the sections managing the state's notary commissions and UCC filings.

Corporate Attorney

• Aug 2000 - Dec 2004