What I Do
Attorney with strong regulatory, policy, and legal experience at the CFTC, and Mergers & Acquisitions (“M&A”) experience in the telecom and energy sectors in private practice. Adept at drafting complex agreements and policies, managing risk, developing and implementing new procedures, and reviewing internal/external compliance programs for effectiveness. Experience managing staff and providing solutions to management in a fast-paced environment. Recognized expert in Foreign Currency (“forex” or “FX”), Energy and Fintech. Successful at building relationships across functions within an organization. Licensed to practice law in New York and Washington DC.
My Experience
2003-2024
Commodity Futures Trading Commission
Special Counsel and Acting Associate Director
Demonstrated strong leadership and organizational skills leading agency-wide initiatives. Set two agency records as Chairperson of the Combined Federal Campaign.
As Acting Associate Director, assumed responsibility for overseeing teams in the Registration and Compliance and Managed funds branches, overseeing teams and providing critical guidance on highly complex regulatory issues to ensure market participant adherence.
Led internal coordination and served as the primary interface for regulatory examinations and inquiries from the NFA, SEC, FINRA, OCC, FDIC, FERC and Treasury, demonstrating expertise in managing complex regulatory scrutiny.
Provided day-to-day legal counsel and guidance to diverse financial intermediaries (e.g., FCMs, CTAs, CPOs, IBs, swap dealers, SEC-registered broker-dealers, investment advisers) on regulatory compliance and legal issues impacting their operations and offerings, effectively serving as a key regulatory advisor.
Served as deputy team lead on CFTC Dodd-Frank rules concerning external business conduct standards for swap transactions, directly contributing to the development and interpretation of critical swaps documentation requirements and risk mitigation strategies.
Developed and issued complex no-action and interpretive letters concerning registration, net capital issues, hedge funds, swaps, foreign currency (FX, forex), MiFID II, SEC registered broker-dealers, and foreign futures and options.
Provided comprehensive guidance to staff on emerging issues related to cryptocurrency and blockchain technology within the financial sector.
Reviewed over 50 Chief Compliance Officer annual reports for registered swap dealers, offering critical feedback on policies, procedures, and disclosures to enhance regulatory adherence and risk management.
Analyzed enforcement actions by the CFTC Division of Enforcement and the National Futures Association (NFA), providing strategies for managing regulatory risk, potential civil litigation, arbitration, and mediation.
Contributed to the development of rules governing forex and managed funds (commodity pools), addressing complex regulatory challenges in financial product distribution.
Actively participated as a Division representative at the CFTC Financial Innovation Working Group and the CFTC Diversity and Inclusion Working Group.
Recognized with the Chairman’s Award for Staff Excellence Team Award (x2).
2000-2002
Fleishman and Walsh LLP.
Associate Attorney
Drafted and reviewed securities filings including Forms S-1, 10-K, 10-Q, and 8-K.
Drafted and reviewed documents for mergers and acquisitions, corporate governance, initial public offerings, private offerings, and bond financings.
Negotiated and drafted contracts for purchase and sale of corporate assets, including energy infrastructure (e.g., natural gas pipelines, electric utilities), water utilities, cable TV systems, telecom licenses, and intellectual property.
2013-2015
Elf Boxes LLC
Environmental
Started an enviromentally friendly moving supply company that delivers plastic reusable moving crates which can be used hundreds of times, and elimate the need for cardboard boxes.
Portfolio
