Who I am

Throughout my career – as a government trial lawyer, in-house counsel and private practitioner - - my principal task has been explaining, advocating and expressing facts and ideas, both orally and in writing.  It is the essence of what I do and have done all my professional life. My engagements have nearly always required me to analyze complex problems and devise innovative solutions to obtain the best achievable result.  In doing so, I have inevitably been required to provide analysis of and interpretive advice regarding the federal securities laws.  These circumstances - - complex problems, innovative solutions, analysis and interpretation of the securities laws - - are the hallmarks of my practice.  As such, they have always been central to my role as counsel to and advocate for my clients. I believe that good advocacy can make a difference and sometimes it makes all the difference.


Where I have been

Throughout my career, I have been called upon to oversee many complex securities-related investigations or to handle the resulting litigation.  I have served as defense counsel in numerous complex SEC/DOJ matters, including the Dennis Levine-Ivan Boesky-Michael Milken scandal, the Limited Partnership investigation, the Colonial Realty scandal, the Research Disclosure investigation and global settlement, the Enron investigation and prosecution, the Market Timing investigation, the Mutual Fund Gifts case, the NYSE Specialists case and, more recently, the Auction-Rate Securities case and the RMBS and CDO cases.  I believe experience matters.

The importance of trust

Critical to the long-term success of my securities enforcement practice is my being perceived by the regulator or prosecutor as honorable and trustworthy.  That goal can only be achieved by maintaining high ethical standards and behaving professionally in all my dealings with them.  These issues arise in all stages of an investigation - - document production, claims of privilege, witness preparation, attendance at testimony, participation at meetings with the staff, and Wells submissions.  I believe that being trustworthy is the most important thing I can do for my client.


My credo