Experience

Armstrong Teasdale

• United States
• Law Practice
• 700 & Above Employee

• Partner and Co-leader, Securities Regulation and Litigation at Armstrong Teasdale

  • Feb 2023 - Present

  I represent asset managers ─ including retail and wealth management firms ─ and private fund advisers in U.S. Securities and Exchange Commission (SEC) enforcement matters as well as in connection with examinations and regulatory matters. My practice focuses on issues related to conflicts of interest, distribution channels and marketing, safeguards and custody, and cybersecurity. I have experience with inquiries, investigations and enforcement actions initiated by the SEC as well as the… Show more I represent asset managers ─ including retail and wealth management firms ─ and private fund advisers in U.S. Securities and Exchange Commission (SEC) enforcement matters as well as in connection with examinations and regulatory matters. My practice focuses on issues related to conflicts of interest, distribution channels and marketing, safeguards and custody, and cybersecurity. I have experience with inquiries, investigations and enforcement actions initiated by the SEC as well as the Financial Industry Regulatory Authority (FINRA) and state agencies. I also conduct internal investigations designed to advise and assist broker-dealers and investment advisers in preventing or responding to regulatory actions. Show less



The George Washington University

• United States
• Higher Education
• 700 & Above Employee

• Professorial Lecturer in Law

  • Jan 2015 - Present

  Washington, DC Member of adjunct faculty in the Advanced Field Placement Program; supervise and mentor students participating in for-credit government, non-profit and judicial externships.



Baker McKenzie

• United States
• Law Practice
• 700 & Above Employee

• Partner

  • Oct 2019 - Feb 2023

  Washington D.C. Metro Area



NASAA

• United States
• Public Policy Offices
• 1 - 100 Employee

• General Counsel

  • Oct 2015 - Oct 2019

  Washington, DC

• Legal Department (see below for positions)

  • Apr 2012 - Oct 2015

  Washington, DC Deputy General Counsel, March 2014 to October 2015 Associate General Counsel, April 2013 to March 2014 Assistant General Counsel, April 2012 to April 2013



Pickard & Djinis

• Associate

  • Oct 2008 - Apr 2012

  Washington, DC Securities regulatory and enforcement defense practice.



Merrill Lynch

• United States
• Financial Services
• 700 & Above Employee

• Office of the General Counsel

  • Mar 2007 - Oct 2008

  New York, NY Assistant Vice President, Global Markets and Investment Banking Surveillance, August 2007-October 2008 Attorney-Consultant, Policies & Procedures, March 2007-July 2007



Oppenheimer & Co. Inc.

• Financial Services
• 700 & Above Employee

• Office of the General Counsel

  • 2004 - 2007

  New York, NY



FINRA

• United States
• Financial Services
• 700 & Above Employee

• Legal Intern, Department of Enforcement

  • 2004 - 2004



U.S. Securities and Exchange Commission

• United States
• Financial Services
• 700 & Above Employee

• Summer Honors Program in New York Regional Office

  • 2003 - 2003



CEB, now Gartner

• United States
• IT Services and IT Consulting
• 700 & Above Employee

• Associate/Analyst

  • 1998 - 2001

  Promoted to Analyst in 2000