Experience

Capital Legal Group PA

• United States
• Law Practice
• 1 - 100 Employee

• Shareholder

  • Oct 2015 - Present

  Capital Legal Group is a boutique securities law firm, representing both domestic and international clients on their most sophisticated legal challenges in all areas of securities, compliance, transactional, and governance matters. We understand government regulatory and enforcement priorities because we served in SEC and FINRA staff positions enhancing our ability to provide focused advice on unusual and difficult compliance, policy, and regulatory issues. The Firm was established out of a… Show more Capital Legal Group is a boutique securities law firm, representing both domestic and international clients on their most sophisticated legal challenges in all areas of securities, compliance, transactional, and governance matters. We understand government regulatory and enforcement priorities because we served in SEC and FINRA staff positions enhancing our ability to provide focused advice on unusual and difficult compliance, policy, and regulatory issues. The Firm was established out of a desire to dedicate more time and effort to directly serving a select clientele in complying with ever changing government regulations. It is our mission to partner with clients to develop and implement streamlined, practical solutions to the increasingly complex regulatory environment, from formation to day-to-day operations. As such, we put a premium on understanding our clients’ businesses in order to provide an individualized and goal-oriented approach to service. Capital Legal Group provides a broad range of legal services within each of our Financial Services Advisory and Counseling practice areas, including, but not limited to, the following: o 1933 Securities Act and 1934 Securities Exchange Act securities compliance and reporting o Broker dealer regulation o Investment Advisers Act of 1940 securities compliance and investment adviser registration o Government investigations and internal investigations o SEC and FINRA examinations o Internal investigations and reviews o Compliance policies and procedures o Registration, regulatory filings, and licensing o Public offerings and private placement of securities o Restricted stock and beneficial ownership filings o Corporate governance best practices and day-to-day general counsel services o Business formation and related agreements Show less Capital Legal Group is a boutique securities law firm, representing both domestic and international clients on their most sophisticated legal challenges in all areas of securities, compliance, transactional, and governance matters. We understand government regulatory and enforcement priorities because we served in SEC and FINRA staff positions enhancing our ability to provide focused advice on unusual and difficult compliance, policy, and regulatory issues. The Firm was established out of a… Show more Capital Legal Group is a boutique securities law firm, representing both domestic and international clients on their most sophisticated legal challenges in all areas of securities, compliance, transactional, and governance matters. We understand government regulatory and enforcement priorities because we served in SEC and FINRA staff positions enhancing our ability to provide focused advice on unusual and difficult compliance, policy, and regulatory issues. The Firm was established out of a desire to dedicate more time and effort to directly serving a select clientele in complying with ever changing government regulations. It is our mission to partner with clients to develop and implement streamlined, practical solutions to the increasingly complex regulatory environment, from formation to day-to-day operations. As such, we put a premium on understanding our clients’ businesses in order to provide an individualized and goal-oriented approach to service. Capital Legal Group provides a broad range of legal services within each of our Financial Services Advisory and Counseling practice areas, including, but not limited to, the following: o 1933 Securities Act and 1934 Securities Exchange Act securities compliance and reporting o Broker dealer regulation o Investment Advisers Act of 1940 securities compliance and investment adviser registration o Government investigations and internal investigations o SEC and FINRA examinations o Internal investigations and reviews o Compliance policies and procedures o Registration, regulatory filings, and licensing o Public offerings and private placement of securities o Restricted stock and beneficial ownership filings o Corporate governance best practices and day-to-day general counsel services o Business formation and related agreements Show less



Women in Finance Association, Inc.

• United States
• Financial Services

• President

  • Feb 2017 - Present

  As a global nonprofit organization, WIFA aims to bring together professional women within the financial industry for the purpose of networking, education, industry awareness and philanthropy. As a global nonprofit organization, WIFA aims to bring together professional women within the financial industry for the purpose of networking, education, industry awareness and philanthropy.



FINRA

• United States
• Financial Services
• 700 & Above Employee

• FINRA Dispute Resolution Arbitrator

  • Aug 2016 - Present

  As an active industry (non-public) FINRA Arbitrator, I preside over cases and render final and binding decisions after carefully weighing the facts of each case. FINRA operates the largest dispute resolution forum in the securities industry. FINRA Dispute Resolution provides a fair, impartial and efficient system of resolution pertaining to securities and employment disputes between and among investors, brokerage firms and individual brokers. As an active industry (non-public) FINRA Arbitrator, I preside over cases and render final and binding decisions after carefully weighing the facts of each case. FINRA operates the largest dispute resolution forum in the securities industry. FINRA Dispute Resolution provides a fair, impartial and efficient system of resolution pertaining to securities and employment disputes between and among investors, brokerage firms and individual brokers.



Duff & Phelps Corp (formerly CounselWorks LLC)

• New York, New York

• Director

  • Oct 2014 - Jan 2016

  Advise and provide strategic counseling to domestic and international investment advisers, private fund managers, investment companies, and broker dealers on business and regulatory matters. CounselWorks offers a myriad of compliance and regulatory services for firms of all sizes, including preparation and updating of compliance programs, manuals and codes of ethics, conducting top-down regulatory risk reviews, preparation of regulatory filings, and practical training and continuing… Show more Advise and provide strategic counseling to domestic and international investment advisers, private fund managers, investment companies, and broker dealers on business and regulatory matters. CounselWorks offers a myriad of compliance and regulatory services for firms of all sizes, including preparation and updating of compliance programs, manuals and codes of ethics, conducting top-down regulatory risk reviews, preparation of regulatory filings, and practical training and continuing education. • Manage team of attorneys and analysts providing regulatory filings and ongoing compliance functions for clients. • Advise clients regarding Securities Act, Securities Exchange Act, Advisers Act, Investment Company Act, and other applicable regulatory statutes and rules. • Assess, develop, and implement tailored compliance programs for clients and conduct training for client employees and management of their program. • Update clients regarding regulatory issues and insight on industry trends such as cyber security, expense allocation, valuation, portfolio management, and marketing. • Point person for clients undergoing regulatory audits, investigations, inquiries, and sweeps. Show less Advise and provide strategic counseling to domestic and international investment advisers, private fund managers, investment companies, and broker dealers on business and regulatory matters. CounselWorks offers a myriad of compliance and regulatory services for firms of all sizes, including preparation and updating of compliance programs, manuals and codes of ethics, conducting top-down regulatory risk reviews, preparation of regulatory filings, and practical training and continuing… Show more Advise and provide strategic counseling to domestic and international investment advisers, private fund managers, investment companies, and broker dealers on business and regulatory matters. CounselWorks offers a myriad of compliance and regulatory services for firms of all sizes, including preparation and updating of compliance programs, manuals and codes of ethics, conducting top-down regulatory risk reviews, preparation of regulatory filings, and practical training and continuing education. • Manage team of attorneys and analysts providing regulatory filings and ongoing compliance functions for clients. • Advise clients regarding Securities Act, Securities Exchange Act, Advisers Act, Investment Company Act, and other applicable regulatory statutes and rules. • Assess, develop, and implement tailored compliance programs for clients and conduct training for client employees and management of their program. • Update clients regarding regulatory issues and insight on industry trends such as cyber security, expense allocation, valuation, portfolio management, and marketing. • Point person for clients undergoing regulatory audits, investigations, inquiries, and sweeps. Show less



U.S. Securities and Exchange Commission

• United States
• Financial Services
• 700 & Above Employee

• Attorney Advisor

  • Jan 2013 - May 2014

  The SEC holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes. The… Show more The SEC holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes. The SEC's five main divisions are: Corporation Finance, Trading and Markets, Investment Management, Enforcement, and Risk and Economic Analysis. • Conducted and led investigations into possible violations of the federal securities laws • Provided legal and regulatory guidance to examination staff • Analyzed relevant securities laws, rules and regulations and informed policy • Coordinated with other divisions and offices within the Commission and other self regulatory organizations • Drafted, edited and presented recommendations to other divisions within the Commission for the institution of civil and administrative actions Show less The SEC holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes. The… Show more The SEC holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other electronic securities markets in the United States. In addition to the Securities Exchange Act of 1934 that created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes-Oxley Act of 2002 and other statutes. The SEC's five main divisions are: Corporation Finance, Trading and Markets, Investment Management, Enforcement, and Risk and Economic Analysis. • Conducted and led investigations into possible violations of the federal securities laws • Provided legal and regulatory guidance to examination staff • Analyzed relevant securities laws, rules and regulations and informed policy • Coordinated with other divisions and offices within the Commission and other self regulatory organizations • Drafted, edited and presented recommendations to other divisions within the Commission for the institution of civil and administrative actions Show less



FINRA

• United States
• Financial Services
• 700 & Above Employee

• Attorney-Examiner

  • Jan 2011 - Jan 2013

  FINRA is the largest independent regulator for all securities firms doing business in the United States. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and… Show more FINRA is the largest independent regulator for all securities firms doing business in the United States. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. • Conducted member examinations, including managing and delivering formal disciplinary referrals to FINRA’s enforcement department involving money laundering suspicions, selling away, unregistered entities and failure to implement adequate supervisory systems. • Led high risk level examinations for sales practice and FINOP compliance with applicable rules and regulations • Identified risks and red flags and performed analyses to determine a firm's compliance with applicable rules. • Acted as point person during examinations which included direct communication with the senior leadership of firms, typically CFO, General Counsel and CCO. • Conducted complex regulatory reviews of risk areas including financial analysis, SEC Rule 15c3-3 reserve computations, and comprehensive sales practice reviews. • Review, analyze, and communicate examination findings to member firms’ senior management. • Liaise with enforcement department on formal actions taken as a result from examination findings. Show less FINRA is the largest independent regulator for all securities firms doing business in the United States. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and… Show more FINRA is the largest independent regulator for all securities firms doing business in the United States. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. • Conducted member examinations, including managing and delivering formal disciplinary referrals to FINRA’s enforcement department involving money laundering suspicions, selling away, unregistered entities and failure to implement adequate supervisory systems. • Led high risk level examinations for sales practice and FINOP compliance with applicable rules and regulations • Identified risks and red flags and performed analyses to determine a firm's compliance with applicable rules. • Acted as point person during examinations which included direct communication with the senior leadership of firms, typically CFO, General Counsel and CCO. • Conducted complex regulatory reviews of risk areas including financial analysis, SEC Rule 15c3-3 reserve computations, and comprehensive sales practice reviews. • Review, analyze, and communicate examination findings to member firms’ senior management. • Liaise with enforcement department on formal actions taken as a result from examination findings. Show less