1992 Chicago-Kent College of Law Illinois Institute of Technology JD - Juris Doctor 1989 University of Illinois, Urbana-Champaign BA - Bachelor of Arts
Recognition & Involvement
Publications
2008 Client Alert SEC and SROs Crack Down on Manipulative Rumor-Mongering, Short-Selling 2005 Compliance Reporter Advisers Act Registration & Compliance Requirement Primer 2004 The Journal of Investment Compliance Short Sales: New Rules and Recent Enforcement Actions
Associations
Pacific Palisades Community Council Executive Committee
Speaking
2008 The PIPEs Conference Latest Developments in SEC Enforcement and Civil Litigation 2008 The Knowledge Congress Webinar Introduction to Rule 206 (4)-8 2008 The International PIPEs Conference Hong Kong Legal & Regulatory Pitfalls of Cross-border Investing: Structuring Agreements to Avoid Them 2007 The PIPEs Conference SEC Update, White Collar and Related PIPEs Litigation 2006 Hedge Fund Registration & Compliance Conference Recent Developments in SEC Regulation