Experience

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  Wag! Group Co.

  • San Francisco, California, United States

  • In-House Counsel

    • Mar 2023 - Present
    • San Francisco, California, United States

    Advise on corporate governance and securities matters related to Federal and State securities laws. Prepare SEC filings, including drafting and filing Forms S-1, S-3, S-8, Forms 4 and 144, Form D, and review and advise on the Company's Forms 10-K and 10-Q. Advise on Section 16 reporting, SEC disclosures, press releases, earnings communications, and disclosure controls and procedures. Coordinate with external independent auditors. Assist with litigation matters, including advise on litigation strategy and settlement. Coordinate with outside counsel. Collaborate with internal stakeholders to review and advise on policies and procedures, including privacy policies and product disclosures.

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  United States Securities and Exchange Commission

  • San Francisco, CA

  • Assistant Regional Director

    • Feb 2002 - Feb 2023
    • San Francisco, CA

    Manage teams of attorneys and accountants in securities enforcement investigations. Extensive experience with investigations of potential violations of the federal securities laws, including the Foreign Corrupt Practices Act (FCPA) enforcement and compliance, SPACs, accounting and financial reporting issues, ESG and climate disclosures, insider trading, proxy disclosures, executive compensation, investment adviser, broker-dealer, securities registration, tender offers, Sarbanes-Oxley Act, and offering frauds. Develop investigative strategy and plans and ensure execution. Extensive experience evaluating compliance programs for public companies and investment advisers and assessing compliance reports by compliance monitors. Conduct and oversee witness interviews and depositions of witnesses at various levels in public and private companies, including CEOs, CFOs, and board members. Collaborate with trial counsel on litigation strategy. Lead settlement negotiations, evaluate monetary penalties and other remedies. Present final enforcement recommendations before SEC Commission, and coordinate enforcement and litigation strategy with senior officials in DC headquarters.Led first Foreign Corrupt Practices Act Unit in the SEC's San Francisco Regional Office from 2010-2014 investigating bribery and corruption Extensive experience coordinating multi-agency efforts in parallel investigations with federal and state government agencies, including the Department of Justice, United States Attorney's Offices, FBI, FTC and the California Department of Corporations; experience working with international regulatory agencies in numerous countries. Co-Chair of SEC African American Council. Co-Chair of Diversity Committee in San Francisco office. Member of SEC Diversity Council. Recipient of SEC's Isaac C. Hunt Award for Diversity and Inclusion. Member of hiring committee.Frequent speaker and panelist on securities law topics at legal and business conferences.

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  Heller Ehrman

  • San Francisco, CA

  • Litigation Associate

    • Sep 1996 - Jan 2002
    • San Francisco, CA

    Litigation attorney with experience in complex civil litigation, emphasizing breach of contract, unfair business practices, securities litigation and antitrust litigation. Experience with all aspects of litigation and litigation case management, including written discovery, depositions, motion practice, oral argument, and supervising staff in document review and document production.