My Work

Regulatory Strategy & Compliance
With nearly two decades of experience at the Commodity Futures Trading Commission (CFTC), I provide strategic legal counsel to financial firms on navigating the complex landscape of U.S. financial regulations. My deep institutional knowledge helps you not only comply with the rules but also build a resilient and defensible business strategy.

I can help you with:
Developing and enhancing comprehensive compliance programs.
Providing day-to-day legal counsel for financial intermediaries (FCMs, CTAs, CPOs, etc.). Offering guidance on Dodd-Frank rules and external business conduct standards.
Reviewing Chief Compliance Officer annual reports and enhancing risk management protocols.

Regulatory Examinations & Enforcement Support
Facing a regulatory examination from the NFA, SEC, FINRA, or Treasury can be a daunting process. I leverage my experience as the primary interface for these inquiries at the CFTC to guide you through the process, manage complex scrutiny, and ensure a strategic, effective response.

My services include:
Conducting pre-examination readiness assessments to prepare your team.
Providing strategic guidance and representation during regulatory examinations.
Managing responses to inquiries and potential enforcement actions.
Analyzing enforcement actions and advising on civil litigation or mediation strategies.

Fintech & Digital Asset Advisory
The digital asset space is evolving rapidly, with new regulations and legal challenges emerging constantly. As a veteran of the CFTC’s Financial Innovation Working Group, I offer specialized guidance on the legal and regulatory issues impacting cryptocurrency, blockchain technology, and other emerging financial products. I help you understand the risks and build a compliant foundation for your innovative offerings.

I specialize in:
Conducting legal and regulatory risk assessments for new fintech products.
Providing guidance on cryptocurrency and digital asset regulations.
Developing and issuing complex no-action and interpretive letter requests.
Advising on emerging issues to build a forward-thinking compliance program.

General Corporate & Securities Law
Beyond regulatory matters, a strong corporate foundation is essential for business growth. My experience includes drafting and reviewing critical corporate and securities documents, ensuring your business is structured to scale and attract investment.

I can assist you with:
Drafting and reviewing securities filings (Forms S-1, 10-K, etc.).
Handling legal documents for mergers and acquisitions.
Providing guidance on corporate governance and compliance.
Negotiating and drafting a wide range of contracts.