Publications
“Winning Methods for Resolving Cross-Border Securities Investigations,” The Guide to International Enforcement of the Securities Laws – Third Edition, Global Investigations Review, November 2023
“SEC Enforcement Record Stems From More Penalties, Not More Cases,” Bloomberg Law, January 2023
“USA: Law & Practice,” Chambers Global Practice Guide: White-Collar Crime, October 2022
“Should Whistleblowers Get Paid? It Depends on What for,” Financial News, November 2020
“Framing The Legacy Of The SEC Under Clayton,” Law360, September 2020
“2020 Hindsight: Regulatory Responses to Recent Market Volatility,” Westlaw Journal, July 2020
“Risks of Insider Trading will Return to Haunt Investors,” Daily Telegraph, May 2020
“Chapter 10: The Planning Process,” Successful Partnering Between Inside and Outside Counsel, Vol. 1, 2011–2020
“Chapter 61: Litigation Management by Corporations,” Commercial Litigation in New York State Courts, Third Edition, Vol. 4A, 2010–2020
“Regulatory Scrutiny of Manufactured Credit Events,” Bloomberg Law, December 2019
“Trading by Corporate Directors and Their Affiliated Investment Funds,” U.S. News – Best Lawyers, November 2013
“Risks and Rewards of Directorships at Portfolio Companies,” Corporate Secretary, September 2013
“How FINRA Encroaches on Attorney Work Product,” Law360, December 2011
“Analyzing the SEC’s First Deferred Prosecution Agreement,’ New York Law Journal, July 2011
“An Analysis of the SEC’s New Cooperation Policies,” New York Law Journal, April 2010
“Commission Alleges Violation of SOX 304,” Securities Docket, August 2009
“§304 of the Sarbanes-Oxley Act: New Tool for Disgorgement,” New York Law Journal, May 2008
“What to Expect from SEC Exams,” Law360, January 2008
Speaking Engagements
Moderator, “Whistleblower Update – The Impact on Corporations and SEC Enforcement,” Securities Enforcement Forum, October 2023
Panelist, “Handling a Regulatory Investigation: In-House and Outside Counsel Perspectives,” SIFMA C&L Annual Seminar, March 2023
Moderator, “CCO Liability and the Changing Role of Compliance,” SIFMA C&L Virtual Forum, September 2022
Panelist, “Whistleblower Update – The Impact on Corporations and SEC Enforcement,” Securities Enforcement Forum, September 2022
Panelist, “Broker/Dealer Exams and Enforcement; Compliance and Recordkeeping Obligations,” PLI Fundamentals of Broker-Dealer Regulation, July 2022
Panelist, “Handling a Regulatory Investigation: In-House and Outside Counsel Perspectives,” SIFMA C&L Annual Seminar, March 2022
Panelist, “Protest and Sports: How Athletes Are Using Their Platforms to Promote Change,” Joint Sidley and Bank of America Diversity and Inclusion Program, November 2020
Moderator, “Ask FINRA: A Panel of Senior FINRA Officials Respond to Your Questions,” SIFMA Webinar Series, May 2020
Moderator, “Broker/Dealer: State Enforcement Initiatives, Developments and Priorities,” PLI Broker/Dealer Regulation and Enforcement, October 2019
Panelist, “Private Client Enforcement Developments,” SIFMA C&L Annual Seminar, March 2019
Panelist, “Broker Dealer Regulation and Enforcement,” Practising Law Institute, October 2018
Panelist, “Private Client Enforcement Developments,” SIFMA C&L Annual Seminar, March 2018
Panelist, “Identifying and Managing Conflicts of Interest,” SIFMA C&L Annual Seminar, March 2016
Panelist, “Conflicts Management: Retail and Institutional Issues,” SIFMA C&L Annual Seminar, March 2015
Panelist, “The Evolving Role of Legal and Compliance,” SIFMA C&L Annual Seminar, March 2012
Panelist, “U.S. Broker-Dealer Roundtable,” SIFMA C&L Annual Seminar, March 2011
Reviewing Enforcement Actions of the SEC, “States and SROs Concerning Broker/Dealers and Investment Banks,” The 4th IQPC Securities Litigation Conference, May 2008
“Best Practices and Approaches to Internal Investigations,” The 3rd IQPC Securities Litigation Conference, November 2007
