JD, magna cum laude, Seattle University School of Law, 1995
BBA, magna cum laude, University of Notre Dame, 1992

• District of Columbia Bar

Broker-Dealers

• Represented broker-dealers in anti-money laundering and suspicious activity reporting issues.
• Represented broker-dealer in SEC and FINRA investigations regarding market manipulation
• Represented broker-dealers in contested FINRA enforcement actions regarding the sale of unregistered securities
• Represented broker-dealer in contested FINRA enforcement action regarding the sale of non-traded REITs
• Represented broker-dealer in contested regional stock exchange enforcement action in which the SEC ultimately dismissed the sanctions
• Represented broker-dealers in enforcement actions by various self-regulatory organizations concerning trade reporting, order handling, internal controls, and supervision

Hedge Funds

• Represented hedge funds in insider trading investigations conducted by the SEC and the DOJ
• Represented hedge funds in SEC investigations concerning the structuring, valuation and sales of CDOs
• Represented hedge fund in SEC investigation concerning the valuation of illiquid assets
• Represented hedge fund in SEC, DOJ, Treasury and SIGTARP investigations concerning the failure of Colonial National Bank
• Represented hedge fund in CFTC investigation concerning market manipulation

Public Companies

• Represented issuer in SEC investigation regarding the accuracy of financial statements, undisclosed related party transactions, and potential insider trading
• Represented financial institution in SEC and DOJ investigations concerning the disclosures and accounting treatment of mortgage portfolios
• Represented issuer in NASDAQ investigation and delisting proceeding
• Represented issuer in internal investigation and SEC investigation regarding whistleblower complaint of improper revenue recognition practices
• Represented former officer of Fortune 500 company in SEC, DOJ and CFTC investigations concerning energy trading

Anti-Corruption

• Represented defense contractor in internal investigation concerning potential FCPA issues
• Represented aircraft manufacturer in internal review of potential FCPA issues
• Represented officer of Fortune 500 company in FCPA investigation
• Regularly advise companies on anti-corruption compliance issues, including due diligence reviews and drafting anti-corruption policies

• The Best Lawyers in America, Litigation - Securities, Best Lawyers, 2024
• Acritas Star, Acritas, 2020 - 2021
• Legal 500 US, Recommended Lawyer, Dispute resolution - Securities litigation: Defense, The Legal 500, 2018 – 2021
• Legal 500 US, Recommended Lawyer, Dispute resolution, International Litigation, The Legal 500, 2021
• Washington DC Super Lawyer, securities litigation, Thomson Reuters, 2016 – 2019

• Co-author, "We will find you and hold you accountable": Treasury's warning to digital asset bad actors," Norton Rose Fulbright Legal Update, December 2023
• Co-author, "US DOJ highlights trends in corporate investigations," Norton Rose Fulbright Legal Update, December 2023
• Co-author, "US SEC charges SolarWinds and its CISO for alleged cybersecurity misstatements and controls failures," Norton Rose Fulbright Legal Update, November 2023
• Co-author, "US SEC continues to pursue aggressive and arbitrary regulation of NFTs," Norton Rose Fulbright Legal Update, September 2023
• Co-author, "US SEC adopts wide-reaching rules for private fund advisers," Norton Rose Fulbright Legal Update, August 2023
• Co-author, "US SEC issues final rule on cybersecurity disclosures," Norton Rose Fulbright Legal Update, July 2023
• Co-author, "US Federal Court issues mixed ruling in watershed SEC action on Ripple's XRP," Norton Rose Fulbright Legal Update, July 2023
• Co-author, "SCOTUS further narrows the scope of federal public-corruption charges," Norton Rose Fulbright Legal Update, May 2023
• Co-author, "First NFT "insider trading" trial ends in criminal conviction based on novel theory," Norton Rose Fulbright Legal Update, May 9, 2023
• Co-author, "Failed Bank Execs Could Be Targets After Biden Proposals," Law360, April 19, 2023
• Co-author, "Judicial scrutiny of agency adjudicative authority enhanced by SCOTUS," Norton Rose Fulbright Legal Update, April 2023
• Co-author, "US SEC targets Coinbase, signaling stricter enforcement against crypto exchanges," Norton Rose Fulbright Legal Update, March 2023
• Co-author, "President Biden seeks expansion of power to punish executives of failed banks," Norton Rose Fulbright Legal Update, March 2023
• Co-author, "US SEC sues ransomware victim for misleading disclosures," Norton Rose Fulbright Legal Update, March 2023
• Co-author, "US DOJ implements first-ever incentive program to clawback employee compensation," Norton Rose Fulbright Legal Update, March 2023
• Co-author, "US DOJ Criminal Division Announces Revisions to Corporate Enforcement Policy," Norton Rose Fulbright Legal Update, January 2023
• Co-author, "US SEC's ESG task force strikes again with a US$4m settlement," Norton Rose Fulbright Legal Update, November 2022
• Co-author, "US SEC releases new rule on executive compensation clawbacks," Norton Rose Fulbright Legal Update, October 2022
• Co-author, "FCPA & Brazil: GOL's Sky-High Settlement," Latinvex, September 28, 2022
• Co-author, "Another sky-high settlement: Airline fined more than US$150m for FCPA violations," Norton Rose Fulbright Legal Update, September, 2022
• Co-author, "US SEC prevented from expanding fraudulent scheme liability," Norton Rose Fulbright Legal Update, August 2022
• Co-author, "SDNY and SEC bring first cryptocurrency insider trading case," Norton Rose Fulbright Legal Update, July 2022
• Co-author, "US SEC settlement demonstrates the risks to investment advisers of using ESG investment decision-making metrics," Norton Rose Fulbright Legal Update, May 2022
• Co-author, "US SEC proposes new ESG disclosure rules for funds and advisors," Norton Rose Fulbright Legal Update, May 2022
• Co-author, "US SEC administrative tribunals held unconstitutional," Norton Rose Fulbright Legal Update, May 2022
• Co-author, "Why-And How-U.S. Companies Are Preparing For Increased Investigation And Regulatory Challenges," Chief Executive Magazine, May 10, 2022
• Co-author, "Return of the monitorship: SEC and DOJ settle US$84M FCPA claims and impose monitorship on medical waste services company," Norton Rose Fulbright Legal Update, April 2022
• Co-author, "The US Securities and Exchange Commission proposes new rules on climate-related disclosures," Inside Turkey, April 27, 2022
• Co-author, "US SEC proposes new rule on cybersecurity disclosures," Norton Rose Fulbright Legal Update, March 2022
• Co-author, "US SEC proposes new rules on climate-related disclosures," Norton Rose Fulbright Legal Update, March 2022
• Co-author, " Rare US FCPA advisory opinion sheds light on duress payments," Norton Rose Fulbright Legal Update, February 11, 2022
• Co-author, "Climate change and sustainability disputes: Greenwashing," Norton Rose Fulbright Legal Update, February 2022
• Co-author, "Who gets to decide to pay the ransom in a ransomware attack?," Data Protection Report, January 18, 2022
• Co-author, "Production of Information to the Authorities," Global Investigations Review, January 14, 2022
• Co-author, "US SEC's proposed amendments to insider trading plans and related disclosures," Norton Rose Fulbright Legal Update, December 20, 2021
• Co-author, "SEC and CFTC considerations regarding carbon credits and ESG disclosures," Norton Rose Fulbright Legal Update, November 3, 2021
• Co-author, "Recent US SEC briefing on gamification," Norton Rose Fulbright Legal Update, October 27, 2021
• Co-author, "SEC SPEAKS: Enforcement's Planned Use of Aggressive Remedies," Norton Rose Fulbright's Financial Services: Regulation Tomorrow Blog, October 26, 2021
• Co-author, "US Department of Justice's establishment of a tip line to assist the Anticorruption Task Force in Central America," Norton Rose Fulbright's Financial Services: Regulation Tomorrow Blog, October 21, 2021
• Co-author, "A direct line from Central America to the US DOJ:  The Anticorruption Task Force establishes a tip line for the Northern Triangle," Norton Rose Fulbright Legal Update, October 21, 2021
• Co-author, "SEC targets climate change disclosures," Norton Rose Fulbright's Financial Services: Regulation Tomorrow Blog, September 29, 2021
• Co-author, "SEC announces three actions charging firms for cybersecurity deficiencies," Norton Rose Fulbright Legal Update, September 2, 2021
• Co-author, "Climate Change and Sustainability Disputes: Securities Litigation," Norton Rose Fulbright Legal Update, July 2021
• Co-author, "US Supreme Court clarifies standards for rebutting price impact in securities class actions," Norton Rose Fulbright Legal Update, June 22, 2021
• Co-author, "House Passes Bill Directing Disclosure of ESG Metrics," Norton Rose Fulbright's Financial Services: Regulation Tomorrow Blog, June 17, 2021
• Co-author, "House Passes Bill Directing Disclosure of ESG Metrics," Regulation Tomorrow blog, June 7, 2021
• Co-author, "US Department of Justice admits error on insider trading convictions," April 16, 2021
• Co-author, "SEC ESG Subcommittee panel debates framework for mandatory disclosures," March 24, 2021
• Co-author, "SEC makes clear an ESG disclosure framework is coming and opens comment period on potential climate change disclosures," March 16, 2021
• Co-author, "Chapter 11 Production of Information to the Authorities, The Practitioner's Guide to Global Investigations, March 2, 2021
• Co-author, "SEC poised to prioritize ESG-related disclosures under Biden administration," Norton Rose Fulbright Legal Update, February 11, 2021
• Co-author, "SEC adopts disclosure rules for resource extraction issuers," Norton Rose Fulbright Legal Update, January 13, 2021
• Co-author, "New whistleblower provisions for reporting AML violations," Norton Rose Fulbright Legal Update, January 1, 2021
• Co-author, "US DOJ breaks six-year hiatus with FCPA Advisory Opinion," Norton Rose Fulbright Legal Update, August 31, 2020
• Co-author, "New US DOJ / SEC guidance on FCPA offers insight into regulators' expanded enforcement efforts," Norton Rose Fulbright Legal Update, June 9, 2020
• Co-author, "New US DOJ guidance on corporate compliance programs emphasizes dynamic program design and implementation, Norton Rose Fulbright Legal Update, June 3, 2020
• Co-author, "SOCIAL MEDIA | Regulation Tomorrow:  What is the STOCK Act?", Norton Rose Fulbright Blog, March 25, 2020
• Co-author, "US Securities Law Liability for Securities Issuers Outside the U.S.", Harvard Law School Forum on Corporate Governance, March 6, 2020
• Co-author, "US securities law liability for issuers outside of the United States in a post-Toshiba environment", Norton Rose Fulbright Legal Update, February 24, 2020
• Co-author, "Airbus' sky-high settlement: Focus on global reach and collaboration in anti-corruption prosecutions", Norton Rose Fulbright Legal Update, February 14, 2020
• Co-author, "Insider trading prosecutions may see an increase after Second Circuit decision lowered the barriers to convict", Norton Rose Fulbright Legal Update, January 28, 2020
• Co-author, "Non-US citizen convicted of violating the Foreign Corrupt Practices Act despite no practical ties to US", Norton Rose Fulbright Legal Update, January 7, 2020
• Co-author, "U.S. Supreme Court to decide whether SEC may obtain disgorgement of "ill-gotten gains", Financial Services Regulation Tomorrow, November 5, 2019
• Co-author, "FCPA enforcers reach for the skies," Norton Rose Fulbright Legal Update, August 29, 2019
• Co-author, "The Delaware Supreme Court clarifies the standards for director oversight liability under Caremark," Norton Rose Fulbright Legal Update, June 26, 2019
• Co-author, "DOJ expands on its processes for evaluations of corporate compliance programs," Norton Rose Fulbright Legal Update, May 29, 2019
• Co-author, "US Supreme Court expands potential liability for securities fraud," Norton Rose Fulbright Legal Update, April 3, 2019
• Co-author, "DOJ declines prosecution under FCPA cooperation policy," Norton Rose Fulbright Legal Update, March 2019
• Co-author, "New guidance on the selection of corporate monitors," Norton Rose Fulbright US LLP, November 12, 2018,
• Co-author, "US v. Martoma round two:  Second Circuit's return to US v. Newman," Norton Rose Fulbright US LLP, July 3, 2018
• Co-author, "Business not as usual:  US Supreme Court holds that administrative law judges must be appointed--threatening years of prior decisions," Norton Rose Fulbright US LLP, June 23, 2018
• Co-author, "Supreme Court holds individuals must report to the SEC to qualify as whistleblowers under Dodd-Frank," Norton Rose Fulbright US LLP, February 23, 2018
• Co-author, "New FCPA enforcement policy provides additional certainty, but risks remain," Norton Rose Fulbright US LLP, January 31, 2018
• Co-author, "Ch. 26, "Insider Trading," The General Counsel's Guide to Government Investigations," 2017
• Co-author, "SEC action against hedge fund raises difficult questions for investment advisers," Norton Rose Fulbright Legal Update, October 12, 2017
• Co-author, "Second Circuit overturns precedent regarding scope of tipper/tippee insider trading liability," Norton Rose Fulbright US LLP Publications, September 1, 2017
• Author, "Criminal Enforcement of the Securities Act of 1933," Matthew Bender, November 2017
• Co-Author, "US, Canada issue major insider trading decisions," Norton Rose Fulbright Legal Update," December 2016
• Co-author, "A Series Of Firsts In Muni Bond Enforcement Since 2010," Law360, November 17, 2016
• Co-author, "SEC fines Nu Skin US$765,688 to settle FCPA charges," Norton Rose Fulbright Legal Update, September 28, 2016
• Co-author, "Culture and compliance – new best friends?" Norton Rose Fulbright Legal Update, July 2016
• Co-author, "DOJ launches pilot program for FCPA cases," Norton Rose Fulbright Legal Update, April 11, 2016
• Post Chiasson/Newman – The Future of Insider Trading Laws, Regulations and Litigation, client memo, October 13, 2015
• SEC Speaks 2015: Enforcement Trends and Priorities for the Year Ahead, March 5, 2015
• Compliance Officers in the SEC's Crosshairs, Bloomberg BNA Securities Regulation & Law Report, December 8, 2014

• "The sweeping impact of California's new ESG climate disclosure legislation," Speaker, Norton Rose Fulbright Webinar, January 18, 2024
• "The Government's War on Insider Trading Plans: Ethics & Best Practices for Defending the Executive & the Company," Speaker, GICLI Annual Meeting, November 16, 2023
• "Navigating the current ESG landscape: Key insights for in-house counsel," Speaker, Norton Rose Fulbright, November 8, 2023
• "Battling short attacks," Speaker, Norton Rose Fulbright Global Webinar, May 10, 2023
• "ESG in Europe, US and Brazil: challenges, opportunities and regulatory trends," Speaker, Norton Rose Fulbright and Mattos Filho, May 4, 2023
• "US federal regulators regulatory enforcement activity against crypto exchanges," Co-host, FinTech Pulse Podcast, Global, April 4, 2023
• "Cross-border enforcement and litigation challenges," Moderator, On-Demand Webinar, June 7, 2021
• "Regulation Tomorrow podcast, Episode 6: Woolard review on BNPL; SEC actions on ESG; regulatory reform in Australia,  April 8, 2021
• "Conducting internal investigations Cross-border Investigations team presents to Japan Institute for Overseas Investment," February 26, 2021
• "Securities and derivatives - recent SEC and CFTC enforcement trends," Norton Rose Fulbright US LLP, November 2, 2017
• "Liability of Compliance Officers at Financial Institutions," Thomson Reuters, May 3, 2017
• "Navigating the new regulatory landscape, Key challenges and potential changes in SEC regulation and enforcement," Norton Rose Fulbright US LLP and FTI Consulting, March 23, 2017
• "Managing a High-Profile Investigation," GICLI Second Annual Meeting, October 10, 2016
• "Directors Roundtable, Key Issues Facing Boards of Directors, New SEC Enforcement Initiatives and Corporate Governance Issues," May 10 and 12, 2016
• "Professional Certificate in Ethics and Anti-Corruption Compliance," Dubai, United Arab Emirates, February 17-18, 2016
• "Assessing Risk in Global Energy Trading, Trends in Energy Litigation," Norton Rose Fulbright US LLP and KPMG, February 11, 2016
• "A Recap on the Government's Focus on Insider Trading After Newman," Government Investigations & Civil Litigation Institute, October 14, 2015
• "For Financial Institutions: Securities Enforcement 2014," American Law Institute, June 19, 2014
• "Government Investigations Part I: Investigative Triggers," The University of Texas School of Law's Government Enforcement Institute, May 21, 2014
• "Using Data Analytics and Information Technology to Build and Manage an Effective Anti-Corruption Program," NYC Bar Recent Trends in FCPA Investigations, Enforcement, Litigation & Compliance, April 2, 2014