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