My enforcement experience included conducting investigations involving:
- Insider trading
- Market manipulation schemes
- Ponzi schemes
- Investment adviser fraud
These matters often required coordinating with accountants, market surveillance specialists, and other regulators, analyzing extensive trading data and financial records, preparing investigative testimony outlines, and making formal enforcement recommendations.
Serving as Senior Counsel provided firsthand insight into how the SEC evaluates evidence, assesses credibility, and decides whether to bring charges or close an investigation without action.
Strategic Insight from Inside the Enforcement Division
Having worked within the SEC’s Enforcement Division, I understand:
- How investigations are initiated and expanded
- What drives Wells notices and charging decisions
- How testimony influences enforcement outcomes
- When cases are referred for criminal investigation
- What persuades staff and Commissioners during settlement discussions
This institutional knowledge is not theoretical. It was developed through years of active enforcement work and direct involvement in high-stakes investigations.
Today, that experience informs every defense strategy I develop.
From Prosecutor to Defense Counsel
Since leaving the SEC in 1999, I have devoted my practice to defending individuals and financial professionals in SEC investigations and enforcement proceedings.
My clients have included:
- Corporate officers and directors
- Investment advisers
- Broker-dealers
- Fund managers
- Financial professionals
- Digital asset entrepreneurs
The perspective gained as a former SEC Senior Counsel provides a distinct advantage when:
- Preparing clients for sworn investigative testimony
- Advocating for case closure without enforcement action
- Negotiating favorable settlement terms
- Mitigating reputational and financial exposure
Understanding how the SEC builds cases allows for strategic, proactive defense designed to resolve matters efficiently and discreetly whenever possible.
Why Former SEC Experience Matters when Defending a SEC Investigation
An SEC subpoena signals serious regulatory scrutiny.
When facing the U.S. Securities and Exchange Commission, you are dealing with career enforcement attorneys who analyze facts through the lens of statutory elements, precedent, and institutional policy.
Effective defense requires more than knowledge of securities law. It requires understanding how the agency thinks.
That insight comes only from having served inside the SEC, and that is what I leverage for each of my clients in fashioning a defense strategy designed to avoid the filing of charges.
