Experience

ArcStone Securities and Investments Corp.

• United States
• Financial Services
• 1 - 100 Employee

• Co-founder, Head, Regulatory Compliance & Risk Management

  • Sep 2023 - Present

  New York, United States ArcStone Securities and Investments Corp., a financial services holding company, specializing in diversified and special situation sectors, catering to both private and public issuers in innovation and growth economies. Possessing a proficient team with backgrounds in prominent financial institutions in Canada and the USA, ArcStone offers strategic guidance across various market sectors, collaborating with companies worldwide seeking capital from North American markets. ArcStone presents… Show more ArcStone Securities and Investments Corp., a financial services holding company, specializing in diversified and special situation sectors, catering to both private and public issuers in innovation and growth economies. Possessing a proficient team with backgrounds in prominent financial institutions in Canada and the USA, ArcStone offers strategic guidance across various market sectors, collaborating with companies worldwide seeking capital from North American markets. ArcStone presents a comprehensive product range, including crowdfunding, merger & acquisition advisory, and debt structuring/raising, catering specifically to companies operating within the $20 million to $1 billion range, thereby distinctly positioning itself for mid-market entities. Show less



Black Swan Diagnostics

• United States
• Financial Services

• Managing Director

  • Jan 2015 - Present

  Austin, Texas, United States Black Swan Diagnostics Inc. is a regulatory risk management firm specializing in various areas of regulation for financial institutions, spanning broker-dealers, EMDs, IFM/PMs, asset managers, mutual fund dealers, banks, trust companies and MSBs (Money Services Businesses). Our scope of regulatory practice includes statutory regulation from OSC, OSFI, IIROC, FINTRAC, SEC/FINRA, FinCEN and PIPEDA. We serve as outsourced CAMLOs for MSBs and other regulated fin-techs. In addition, we also… Show more Black Swan Diagnostics Inc. is a regulatory risk management firm specializing in various areas of regulation for financial institutions, spanning broker-dealers, EMDs, IFM/PMs, asset managers, mutual fund dealers, banks, trust companies and MSBs (Money Services Businesses). Our scope of regulatory practice includes statutory regulation from OSC, OSFI, IIROC, FINTRAC, SEC/FINRA, FinCEN and PIPEDA. We serve as outsourced CAMLOs for MSBs and other regulated fin-techs. In addition, we also serve as outsourced CCOs for various securities registrants. We advise SEC, AMEX, NASDAQ, TSX and TSX-V issuers on securities regulatory compliance including quarterly and annual filings, prospectuses and litigation matters as expert witnesses. www.blackswandiagnostics.com Show less



York University - Joseph E. Atkinson Faculty of Liberal and Professional Studies

• Adjunct Faculty Professor

  • Sep 2014 - Present

  North York, Ontario, Canada Teach Advanced Corporate Governance/Securities Law/Anti-Money Laundering and Anti-Terrorism Financing to masters/graduate students.



Radio Shalom -- 1650 am

• Co-host -- Securities and Banking Law

  • Jan 2010 - Present

  Once a month, we distill valuable wisdom and knowledge on securities and banking law issues. The show is live from our studios in Montreal. We have blue-chip guests from the securities and banking industry including forensic accountants, portfolio managers, securities litigators, business development execs, real estate investment pros, and the like.