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  • Securities Law
  • Bar of New York, Bar of North Carolina, New York, North Carolina
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Practice Area
  • Securities Law
Additional Practice Areas
  • Broker-Dealer
  • Investment Management, Hedge Funds and Alternative Investments
  • Securities Enforcement
Jurisdictions Admitted to Practice
Bar of New York
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Bar of North Carolina
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New York
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North Carolina
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Professional Experience
K&L Gates
Current
Education
East Carolina University
M.B.A.
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Loyola University of Chicago School of Law
J.D.
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University of North Carolina
B.S.
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Professional Associations
Current
Activities: American Bar Association, Member, Section of Corporate, Banking and Business Law, State and Federal Securities Committees and Subcommittees, 1990-present
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Current
Activities: National Association of Personal Financial Advisors, Inc., Board of Directors, 1990-1993
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Current
Activities: National Society of Compliance Professionals, Inc., Board of Directors, 1990-1992; Member, 1990-present
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Current
Activities: North American Securities Administrators Association, Inc., Board of Directors, 1984-1988; President, 1986-1987
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Current
Activities: Securities Industry Association Compliance and Legal Division, 1995-present
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Websites & Blogs
Website
Website
Contact & Map
4350 Lassiter at North Hills Avenue
#300
Raleigh, NC 27609
Telephone: (919) 743-7335
Fax: (919) 516-2035
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