Experience

Schindler Cohen & Hochman LLP

• United States
• Law Practice
• 1 - 100 Employee

• Partner

  • Jan 2021 - Present

  New York City Metropolitan Area

• Counsel

  • Sep 2018 - Jan 2021

  Greater New York City Area

• Counsel

  • Sep 2018 - Jan 2021

  Greater New York City Area Commercial litigator, securities regulatory counselor, and privacy/cybersecurity advisor. At FINRA, I led investigations and litigated a wide variety of matters related to violations of FINRA/NASD rules and federal securities laws and regulations. Recently, I was the lead attorney in the investigation leading to FINRA’s first cryptocurrency-related complaint. I also investigated and litigated matters related to, among others: anti-money laundering program and supervisory deficiencies;… Show more Commercial litigator, securities regulatory counselor, and privacy/cybersecurity advisor. At FINRA, I led investigations and litigated a wide variety of matters related to violations of FINRA/NASD rules and federal securities laws and regulations. Recently, I was the lead attorney in the investigation leading to FINRA’s first cryptocurrency-related complaint. I also investigated and litigated matters related to, among others: anti-money laundering program and supervisory deficiencies; securities offerings in violation of Section 5 of the ’33 Act; securities fraud; market manipulation; quantitative and qualitative suitability; short sale marking and locate rule violations; market access violations; net capital deficiencies, outside business activities; and private securities transactions. In addition to my regulatory experience at FINRA, in private practice I have litigated complex commercial disputes involving diverse areas of law, including: banking, contracts, securities fraud, employment, intellectual property, construction, real estate development; Indian Gaming Regulatory Act, ERISA, Section 11 of the Securities Act, and discovery requests pursuant to 28 U.S.C. § 1782. I have also represented individuals in FINRA arbitrations and SEC investigations. I helped found the firm’s data security and privacy practice and have earned the Certified Information Privacy Professional/United States (CIPP/US) credential through the International Association of Privacy Professionals (IAPP)



Financial Industry Regulatory Authority (FINRA)

• Principal Counsel in Enforcement

  • Jul 2015 - Sep 2018

  Greater New York City Area • Investigate securities industry violations committed by FINRA-regulated broker-dealers and registered representatives, including sales practice and trading-related charges. • Litigate disciplinary proceedings against broker-dealers and registered representatives for violating securities industry rules, including anti-money laundering, fraud, suitability, and supervisory charges.

• Counsel

  • Mar 2007 - Jun 2015

  My practice concentrated on commercial litigation and arbitration on behalf of investment banks, broker-dealers, investment advisors, commercial banks, private equity firms, pension funds, and hedge funds. In that capacity, I have experience litigating in state and federal court disputes related to: CLO and CDO investments and management; securities fraud and liability under the federal securities acts; business torts; insurance coverage; employment issues; intellectual property, construction;… Show more My practice concentrated on commercial litigation and arbitration on behalf of investment banks, broker-dealers, investment advisors, commercial banks, private equity firms, pension funds, and hedge funds. In that capacity, I have experience litigating in state and federal court disputes related to: CLO and CDO investments and management; securities fraud and liability under the federal securities acts; business torts; insurance coverage; employment issues; intellectual property, construction; and real estate. Matters concerned complex structured products (ABS, CLOs); construction disputes; hedge fund and private equity partnership disputes and breakups; insurance coverage; credit facilities; securities lending; Indian casino financing disputes; and employment-related disputes. I also earned the Certified Information Privacy Professional/United States (CIPP/US) credential through the International Association of Privacy Professionals (IAPP). The CIPP/US credential is the preeminent professional certification offered in information privacy and data protection. It signifies a strong foundation in U.S. private-sector privacy laws and regulations and understanding of the legal requirements for the responsible transfer of sensitive personal data to/from the U.S., the EU and other jurisdictions. I was recognized as a 2014 and 2015 New York Metro "Rising Star" for Litigation by Super Lawyers Magazine. Show less



Simpson Thacher & Bartlett LLP

• United States
• Law Practice
• 700 & Above Employee

• Associate

  • Sep 2004 - Mar 2007

  At Simpson Thacher & Bartlett, my practice focused on litigation related to securities fraud, antitrust, and intellectual property. In addition, I counseled clients on intellectual property matters in M&A transactions and in trademark disputes.


U.S. Department of Justice Antitrust Division
• United States
• Law Enforcement
• 1 - 100 Employee
• Paralegal Specialist

  • Aug 1997 - Jun 1998