Tell us about your practice.
I represent companies and individuals who are being investigated by a government agency for civil or criminal violations. Combining my background as a government enforcement attorney at both the Securities & Exchange Commission (SEC) and Office of the Special Inspector General for the Troubled Asset Relief Program (SIGTARP), I have a unique perspective on defending clients facing government investigations and regulatory inquiries. I have extensive experience handling SEC investigations and inquiries but have also represented clients in proceedings before a variety of other government bodies, including the Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Commodity Futures Trading Commission (CFTC), Public Company Accounting Oversight Board (PCAOB), Consumer Financial Protection Bureau (CFPB), Congress, stock exchanges and inspectors general offices.
What is an interesting trend happening right now related to your field of practice?
First, despite the relative ease with which the SEC can uncover and trace securities trades and identify connections between people, there remains a high level of illegal insider trading by people who (mistakenly) think they can disguise or hide their trades through covert actions. Second, despite the notoriety paid to Ponzi schemes following the Bernie Madoff scandal over 10 years ago, investors are regularly tricked into giving money to scammers running Ponzi schemes who promise unrealistic investment returns. As the saying goes, if something sounds too good to be true, it probably is.
Why did you chose to pursue a career in the legal field?
I was the first person in my family to graduate from college. My main focus was graduating from college and I honestly did not have a plan to pursue a graduate degree, let alone a legal career. A college friend encouraged me to apply to law school because she knew my grades were strong. Law school was more appealing to me than starting to work! The rest, as they say, is history.