If you are a financial service professional and you have been contacted by a securities regulator (FINRA, SEC, or State securities regulator), you need independent, experienced and dedicated counsel to assist you and protect your rights. I have more than 30 years experience, including as a Branch Chief in the home office of SEC's Enforcement Division, in-house counsel at several leading broker-dealers, and in private practice representing investment banks, broker-dealers, supervisory and compliance personnel in all types of investigations and related proceedings. I will listen to your side of the story, fight to protect your interests.