Experience

Marine Forces Reserve

• United States
• Armed Forces
• 400 - 500 Employee

• Regional Judge Advocate and Officer in Charge

  • Jun 2017 - Present

  • Supervise a team of five Marine officers who provide legal services to all Marine Corps Reserve units based in the northeastern United States, including litigation of administrative separation boards for Marines involved in misconduct, investigation support, and pre-deployment estate planning. • Litigate adversarial administrative boards as the first chair attorney in cases involving violations of federal firearms statutes, narcotics, violent assault, and military offenses.

• Civil Affairs Detachment Commander

  • Nov 2013 - May 2017

  Naval Station Great Lakes, IL • Train and lead three teams of senior, combat-experienced veterans with diverse areas of expertise in the coordinated employment of Department of Defense assets with those of domestic and foreign civilian agencies, embassies, and communities before, during, and after crises. • Develop long term campaign plans and novel concepts of employment for intelligence, logistics, and communications as a Detachment Commander, a position ordinarily reserved for officers with at least eight more years… Show more • Train and lead three teams of senior, combat-experienced veterans with diverse areas of expertise in the coordinated employment of Department of Defense assets with those of domestic and foreign civilian agencies, embassies, and communities before, during, and after crises. • Develop long term campaign plans and novel concepts of employment for intelligence, logistics, and communications as a Detachment Commander, a position ordinarily reserved for officers with at least eight more years of rank and experience.



FINRA

• United States
• Financial Services
• 700 & Above Employee

• Principal Counsel (Sales Practice Enforcement)

  • Aug 2016 - Present

  Chicago, Illinois • Resolve all types of Sales Practice Enforcement matters based on objective and complete assessment of the facts and law, including cases involving fraud, excessive trading, unsuitable trading, net capital rule violations, customer protection rule violations, the market access rule, theft, and due diligence in private placements. • Work independently and with minimal supervision on matters involving common rule violations; take a leading role in matters that involve the highest levels of… Show more • Resolve all types of Sales Practice Enforcement matters based on objective and complete assessment of the facts and law, including cases involving fraud, excessive trading, unsuitable trading, net capital rule violations, customer protection rule violations, the market access rule, theft, and due diligence in private placements. • Work independently and with minimal supervision on matters involving common rule violations; take a leading role in matters that involve the highest levels of complexity, urgency or risk. • Partner with investigative staff to fully and efficiently develop the record, including by planning and conducting on-the-record testimony. • Conduct legal research and provide legal advice to investigative and legal staff. • Recommend fair and effective outcomes by assessing the evidence and applying a well-reasoned legal analysis to the case. • Draft clear and effective advocacy documents. • Demonstrate effective oral advocacy during settlement negotiations and case discussions. • For cases involving common rule violations, play a leading role in determining litigation strategy and preparing cases for litigation. • Participate in litigation, including by conducting witness examinations, arguing motions, and delivering opening and closing statements.

• Principal Counsel (Market Regulation Enforcement)

  • Jan 2015 - Jul 2016

  Chicago, Illinois • Present disciplinary cases before the Business Conduct Committee of the Chicago Board Options Exchange, C2 Options Exchange, CBOE Stock Exchange, and CBOE Futures Exchange. • Advise division staff in the conduct of examinations, surveillance reviews, and complex investigations pertaining to trading and market making by trading permit holders and associated persons, including the gathering of documentary evidence, testimony, and analysis. • Conduct on-the-record interviews of witnesses… Show more • Present disciplinary cases before the Business Conduct Committee of the Chicago Board Options Exchange, C2 Options Exchange, CBOE Stock Exchange, and CBOE Futures Exchange. • Advise division staff in the conduct of examinations, surveillance reviews, and complex investigations pertaining to trading and market making by trading permit holders and associated persons, including the gathering of documentary evidence, testimony, and analysis. • Conduct on-the-record interviews of witnesses and potential respondents.



Cboe Global Markets

• United States
• Financial Services
• 700 & Above Employee

• Enforcement Counsel

  • Mar 2014 - Dec 2014

  Chicago, Illinois • Investigated and litigated securities law violations for CBOE's Regulatory Services Division prior to FINRA's assumption of CBOE's regulatory duties and personnel in December 2014.



United States Marine Corps

• United States
• Armed Forces
• 700 & Above Employee

• Deputy Senior Trial Counsel (Prosecution)

  • Sep 2012 - Oct 2013

  Marine Corps Air Station Miramar, San Diego California • Serve as supervising attorney and docket manager over nine prosecutors and nine paralegals for three legal teams in southern California and Arizona. • Litigate complex cases involving rape, extortion, assault, bigamy, fraud, burglary, larceny, narcotics, obstruction of justice, and numerous military offenses. • Develop cases with the Naval Criminal Investigative Service, the Criminal Investigation Division, military police, and independent fraud investigators. • Prepare direct and… Show more • Serve as supervising attorney and docket manager over nine prosecutors and nine paralegals for three legal teams in southern California and Arizona. • Litigate complex cases involving rape, extortion, assault, bigamy, fraud, burglary, larceny, narcotics, obstruction of justice, and numerous military offenses. • Develop cases with the Naval Criminal Investigative Service, the Criminal Investigation Division, military police, and independent fraud investigators. • Prepare direct and cross examinations of expert witnesses in computer forensics, toxicology, neuropsychology, sleep medicine, and DNA testing.

• Deputy Regimental Judge Advocate, Regimental Combat Team 5

  • Dec 2011 - Aug 2012

  Helmand Province, Afghanistan • Developed evidence for use in Afghan courts and U.S. detention hearings against enemy combatants for manufacturing and emplacing improvised explosive devices, firing on U.S. and Afghan armed forces, extorting and intimidating Afghan civilians, and trafficking both raw opium and processed heroin. • Trained Marines executing combat operations in southern Helmand Province and advised the Commanding Officer and his staff on the application of the rules of engagement and the law of armed… Show more • Developed evidence for use in Afghan courts and U.S. detention hearings against enemy combatants for manufacturing and emplacing improvised explosive devices, firing on U.S. and Afghan armed forces, extorting and intimidating Afghan civilians, and trafficking both raw opium and processed heroin. • Trained Marines executing combat operations in southern Helmand Province and advised the Commanding Officer and his staff on the application of the rules of engagement and the law of armed conflict. • Conducted investigations into murders of Marines by members of the Afghan National Army in the Marjeh district and Trek Nawa area.

• Deputy Staff Judge Advocate/Civil Law Officer

  • Sep 2010 - Nov 2011

  Marine Corps Air Station Miramar, San Diego, CA • As a Captain, filled a position normally reserved for a Major with at least six more years of seniority and legal experience. • Advised commanders and individual Marines on the interactions of civilian and military law, including government ethics regulations, federal support to local governments and private entities, and jurisdictional matters. • Conducted legal reviews on security issues, debarments from military installations, and the effect of domestic violence convictions on… Show more • As a Captain, filled a position normally reserved for a Major with at least six more years of seniority and legal experience. • Advised commanders and individual Marines on the interactions of civilian and military law, including government ethics regulations, federal support to local governments and private entities, and jurisdictional matters. • Conducted legal reviews on security issues, debarments from military installations, and the effect of domestic violence convictions on service members’ ability to carry firearms under the Lautenberg Amendment to the Gun Control Act.

• Legal Assistance Officer-in-Charge

  • May 2010 - Aug 2010

  Marine Corps Air Station New River, Jacksonville, NC • Single-handedly advised over 280 new and 110 repeat clients on contracts, consumer law, child and spousal support, family law, and landlord-tenant matters. • Drafted over 300 wills, advance medical directives, and medical and financial powers of attorney on behalf of deploying Marines and their families. • Reduced client wait times for appointments from over three and a half weeks to under one week while improving work product quality by designing an improved electronic legal research… Show more • Single-handedly advised over 280 new and 110 repeat clients on contracts, consumer law, child and spousal support, family law, and landlord-tenant matters. • Drafted over 300 wills, advance medical directives, and medical and financial powers of attorney on behalf of deploying Marines and their families. • Reduced client wait times for appointments from over three and a half weeks to under one week while improving work product quality by designing an improved electronic legal research and reference library.

• Deputy Staff Judge Advocate/Administrative Law Officer

  • Sep 2009 - Apr 2010

  Marine Corps Air Station New River, Jacksonville, North Carolina • Represented the government in over twenty adversarial employment hearings on Marines for misconduct and unsatisfactory performance. • Evaluated prosecution and defense cases as an Article 32 Investigating Officer, a quasi-judicial role that performs similar functions to a grand jury hearing. • Reviewed investigations on aviation mishaps, workplace injuries, stolen equipment, and government liability for damage to persons and property.

• Chief Trial Counsel (Prosecution)

  • Jan 2008 - Sep 2009

  Marine Corps Air Station New River, Jacksonville, NC • Prosecuted contested felony and misdemeanor courts-martial in both bench and jury trials, ranging from DUIs to multi-victim sexual assaults. • Conducted sentencing hearings on cases including solicitation of minors, possession of child pornography, and narcotics distribution.

• Staff Judge Advocate

  • May 2009 - Aug 2009

  Marine Corps Air Station New River, Jacksonville, North Carolina • As a Captain, filled a position normally reserved for a Lieutenant Colonel with at least twelve more years of seniority and experience, while simultaneously training new prosecutors and litigating courts-martial. • Served as the primary legal advisor to the Commanding Officer of an installation with over 7000 servicemembers and civilian employees in over twenty operational helicopter squadrons on all aspects of civil and military law.



United States Marine Corps

• United States
• Armed Forces
• 700 & Above Employee

• Candidate, Student Lieutenant

  • Jan 2007 - Dec 2007

  Quantico, Virginia and Newport, Rhode Island