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  • Business Law
  • District of Columbia, Maryland, New York
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Practice Area
    Business Law
Additional Practice Areas
  • General Civil
  • Litigation
Jurisdictions Admitted to Practice
District of Columbia
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New York
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Professional Experience
Schulte Roth & Zabel LLP
Partner, Dickstein Shapiro LLP, 1980–2008Head of Securities Litigation, Regulatory and Compliance Practice Trial attorney, SEC Division of Enforcement Adjunct, Washington College of Law, American University, 1987–92Taught classes on white-collar crime
Fordham University School of Law
cum laude
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Colgate University
cum laude
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Speaking Engagements
“Prime Brokerage,” 40th SIFMA-CL Annual Seminar, Orlando, Fla., March 30–April 2, 2008
“Disciplinary Hearing Process,” 2007 FINRA Fall Securities Conference, Scottsdale, Ariz., Oct.10, 2007
“Market Manipulation in Energy Markets - Enforcement Risks and Compliance Protections,” Spring 2007 API Risk Control Committee Meeting, Chicago, May 2007
“Regulatory and Civil Liability of Clearing Firms and Prime Brokers,” SIFMA 2007 Annual Seminar, Phoenix, Ariz., March 25-28, 2007
“Prime Brokerage Correspondent Clearing,” Securities Industries
Association (SIA) Compliance Legal Division Seminar, Palm Desert, Calif., April 2005
“Outside Directors,” Practising Law Institute DO Liability Insurance Seminar: Directors Officers Under Fire, New York, June 2004
“Clearing Firm and Prime Broker Liability,” 2004 Future Industry Association Law Compliance Workshop,” Baltimore, May 2004
Securities Industries Association (SIA) Compliance Legal Division Seminar, Phoenix, Ariz., March 2004
“Sarbanes Oxley Act (New SEC and NYSE Rules),” NY-ACC Ethics Marathon, September 2004
“Professional Conduct of Attorneys and Corporate Code of Ethics After Sarbanes Oxley,” NY-ACC Ethics Marathon, December 2004
“Corporate Governance Liability Insurance: Drafting Disclosures and Advising the Board on Corporate Governance Under the Sarbanes Oxley Regime,” LexisNexis Corporate Governance Symposium, September 2003
“Increased Responsibilities for Outside Directors,” Practising Law Institute Seminar, October 2003
“Mini-MBA for the Corporate Practitioner: Recent Accounting Issues,” 2002 American Corporate Counsel Association, May 2002
“Retail Surveillance Techniques,” SIA Compliance Legal Division Seminar, Orlando, Fla., March 2001
“SEC Order Handling Issues,” SIA Compliance Legal Division Seminar, Palm Desert, Calif., March 2000
“Equity Trading Desk Activities and Best Execution Obligations,” National Society of Compliance Professionals (NSCP) Annual Meeting, Washington, D.C., October 1999
“SEC Order Handling Issues,” SIA Compliance Legal Division Seminar, Boca Raton, Fla., April 1999
“Prosecuting and Defending Class Actions,” Insight Conference, New York, February 1999
“Compliance After Caremark: Avoiding and Mitigating Potential Civil and Criminal Liability,” ABA Section of Business Law Spring Meeting, St. Louis, April 1998
Frequently interviewed by the media, including:
BBC World ServiceBank and Lender Liability ReporterBusiness WeekCNBCCorporate Officers and Directors Liability ReporterCNN Financial CNN Moneyline FindLaw Legal News and Commentary Financial Times Houston Chronicle Los Angeles Times MSN Money National Post Northwest Herald Newsday PBS – Nightly Business Report Securities Litigation Regulation Reporter Wall Street Journal Washington Post
Websites & Blogs
Contact & Map
1152 15th Street Northwest
Washington, DC 20005
Telephone: (202) 729-7461
Fax: (202) 730-4520
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