Representative Matters

Consulted for a national securities exchange undergoing an audit for compliance with an SEC Order;

Conducted a review of fixed-income trading and sales personnel activity for a broker-dealer in response to a FINRA trading inquiry;

Represented a derivatives trader and middle-office personnel from a global bank at on-the-record testimony before the CFTC investigating ISDAfix;

Conducted an insider trading review for an individual who received an SEC Wells notice;

Assisted a national securities exchange conducting a review of its electronic order types in response to an OCIE inquiry;

Advised a hedge fund regarding policies and procedures compliance, in preparation for an SEC exam;

Advised a high-frequency trading firm updating it policies and procedures manuals;

Conducted multiple insider-trading reviews of hedge fund portfolio manager & analyst teams.