Focus Areas
- “Overview of Regulation Best Interest and Care Obligations,” Thompson Hine Broker-Dealer Update, October 2024
- “Seventh Circuit Confirms ECOA Applies to Prospective Applicants Post-Loper Bright,” Thompson Hine Business Litigation Update, August 2024
- “Fifth Circuit Strikes Down SEC Private Fund Adviser Rule,” Thompson Hine Investment Management Update, June 2024
- “CFPB Issues Final Rule on Credit Card Penalty Fees Under Reg Z,” Thompson Hine Business Litigation Update, March 2024
- “NY Decision Sparks a Ripple Effect Across the Digital Assets Investment Industry,” Thompson Hine Blockchain & Cryptocurrencies Alert, July 2023
- “SEC’s Recent Lawsuits Signal Heat Wave in Crypto-Winter,” Thompson Hine Blockchain & Cryptocurrencies Alert, June 2023
- “FTX Founder Arrested, Faces Indictment in SDNY,” Thompson Hine Blockchain Alert, December 2022
- “SEC Marks Important Milestone with a Decade of EXAMS,” Thompson Hine Investment Management Update, May 2022
- “FINRA Raises Stakes in 2022 for Firms Tolerating Bad Brokerage Disciplinary Histories,” Thompson Hine Investment Management Update, January 2022
- “Supreme Court Upholds SEC Disgorgement Powers, With Limitations,” Thompson Hine Securities Litigation Update, June 2020
- Co-presenter, “Evolving Legal Practice: Shaping the Future of Law through Tech Innovation,” Thompson Hine Investment Management Coffee Chat, March 2024
- Co-presenter, “IM Coffee Chat: Who Will Win the Crypto/SEC Tug of War?” Thompson Hine Webinar, November 2023
- Co-presenter, “Crypto & the Regulatory Landscape: What You Need to Know,” Thompson Hine Startups Streamlined Podcast Series, February 2023
- Co-presenter, “Crypto & the Regulatory Landscape: What You Need to Know,” Thompson Hine Startups Streamlined Podcast Series, June 2022
- Panelist, “Managing Digital Assets: Business Realities vs. Knowns & Unknowns,” European American Chamber of Commerce Webinar, May 2022
- Presenter, “Crypto/NFT Hot Topics: What’s on the Digital Horizon in 2022,” Thompson Hine Investment Management Coffee Chat Webinar Series, February 2022
- Presenter, “ERISA Update for Investment Advisers and Fund Managers, Thompson Hine Investment Management Coffee Chat Webinar Series, January 9, 2022
- Presenter, “When Your LIBOR-Linked Products Turn into a Pumpkin,” Thompson Hine Investment Management Coffee Chat Webinar Series, December 2021
- Presenter, “The Ghosts of Section 36(b) Excessive Fee Litigation: Past, Present and Future,” Thompson Hine Investment Management Coffee Chat Webinar Series, November 2021
- Presenter, “Diversity in the Boardroom: NASDAQ Rule Implementation Update,” Thompson Hine Investment Management Coffee Chat Webinar Series, November 2021
- Presenter, “Enforcement Considerations for Trustees, Municipal Advisors and Issuers,” Thompson Hine Investment Management Coffee Chat Webinar Series, October 2021
- Presenter, “Resolving Exam or Enforcement Issues – Step Two: Understanding Regulators’ Motives and Moves,” Thompson Hine Investment Management Coffee Chat Webinar Series, July 2021
- Presenter, “Handling Regulatory Inquiry – Mock Exams,” Thompson Hine Investment Management Coffee Chat Webinar Series, June 2021
- Presenter, “NYAG Blue Sky Law Modernization in Practice,” Thompson Hine Investment Management Coffee Chat Webinar Series, June 2021
- Presenter, “The Current State of Private Equity,” Thompson Hine Investment Management Coffee Chat Webinar Series, April 2021
- Presenter, “Diversity in the Boardroom: NASDAQ Proposal,” Thompson Hine Investment Management Coffee Chat Webinar Series, February 2021
- Panelist, Corporate Section, National Bar Association, New York, July 2019
- Panelist, “Diversity in Finance Companies,” National Association of Securities Professionals, June 2019
- Panelist, “Blacks on Wall Street,” Roselle, October 2017
- Lecturer, “Contemporary Issues in Securities Fraud,” Seton Hall Law School, April 2017
- Panelist, “Blacks on Wall Street,” Bank of New York Mellon/Oracle, New York, February 2015
- Panelist, “Understanding Securities Law 2014,” National Bar Association Annual Conference, July 2014
- Panelist, “Microcap Stock Manipulation: How to Detect and Avoid It,” Boston Bar Association, March 2014
- Panelist, “Defending Individuals & Corporations in Government Investigations,” Thomson Reuters, New York, Dec. 2013
- Panelist, “Responding to Governmental Investigations,” National Bar Association Regional Conference, New York, June 2013
- Panelist, “Securities Enforcement,” Sheppard Mullin, Financial Regulatory & Enforcement Symposium, New York, May 2013
- Panelist, “State Regulation,” SIFMA Legal & Compliance Conference, Phoenix, March 2013
- Faculty, “Coping with Broker Dealer Regulation,” Practicing Law Institute, New York, October 2009- 2012
- Panelist, “Complex Products,” SIFMA, New York, September 2012
- Panelist, “Criminal Securities Enforcement,” Bingham McCutchen/Securities and Exchange Commission Historical Society, New York, September 2012
- Presenter, President Obama’s RMBS Working Group, Securities and Exchange Commission, Washington, D.C., February and May 2012
- Moderator, “Regulation of Social Media,” NASAA Annual Policy Conference, April 2012
- Panelist, “State Securities Regulation,” NASAA Winter Enforcement Conference, New Orleans, April 2012
- Panelist, “State Regulation,” SIFMA Legal & Compliance Conference, Miami, March 2012
- Panelist, “National Mortgage Fraud Settlements,” SOMOS Legal Conference, New York Legislature, February 2012
- Presenter, SIFMA Monthly State Regulatory Meeting, New York, October 2009, May 2010 and August 2012
- Panelist, New York Financial Planners Association, November 2011
- Panelist, American Conference Institute, New York, October 2011
- Panelist, “Structured Product Risks,” NASAA Broker-Dealer Training, Ft. Lauderdale, June 2011
- Panelist, “What Regulatory Reform Means to Main Street,” NASAA Annual Public Policy Conference, Washington, D.C., April 2010
- Panelist, “Symposium: Securities Regulation and the Global Economic Crisis: What Does the Future Hold?” Seton Hall Law School, October 2009
- Panelist, “Business Ethics,” Rutgers School of Business, October 2009
- Presenter, “Insider Trading in Options,” FINRA Continuing Legal Education, New York, 2008
- Selected to Law360’s Fintech Editorial Advisory Board, 2024
- Outstanding Service Award, North American Securities Administrators Association, October 2013
Professional Associations
- National Association of Securities Professionals, 2019-present
- National Society of Compliance Professionals, 2015-present
- North American Securities Administrators Association, 2010-present
- National Bar Association, 1994-present
Community Activities
- Commissioner, Hingham Historic Districts Commission, Hingham, MA, 2013-2015
Professional Activities
- Founder, Ohio Chapter, National Association of Securities Professionals
- North American Securities Administrators Association
- Broker Dealer Committee, 2011-2013
- Self-Regulatory Organization Liaison Special Committee, 2010-2013
- Federal Legislative Agenda Committee, 2010-2012
- Chair, Investment Products & Services (Emerging Risks) Project Group, 2010-2012
- Chair, Annual Policy Conference, Washington, D.C., March 2011
Education
- Howard University School of Law, J.D., 1994,
co-editor-in-chief, Howard Scroll: Social Justice Law Review (1993-1994)
- University of Maryland, B.S., 1990
Bar Admissions
- Ohio
- New York
- Maryland
- Overview of Regulation Best Interest and Care Obligations,
Broker-Dealer Update
, October 31, 2024 - Seventh Circuit Confirms ECOA Applies to Prospective Applicants Post-Loper Bright,
Business Litigation Update
, August 20, 2024 - Fifth Circuit Strikes Down SEC Private Fund Adviser Rule,
Investment Management Update
, June 14, 2024 - CFPB Issues Final Rule on Credit Card Penalty Fees Under Reg Z,
Business Litigation Update
, March 13, 2024 - NY Decision Sparks a Ripple Effect Across the Digital Assets Investment Industry,
Blockchain & Cryptocurrencies Alert
, July 28, 2023 - SEC’s Recent Lawsuits Signal Heat Wave in Crypto-Winter,
Blockchain & Cryptocurrencies Alert
, June 20, 2023 - FTX Founder Arrested, Faces Indictment in SDNY,
Blockchain Alert
, December 13, 2022 - SEC Marks Important Milestone with a Decade of EXAMS,
Investment Management Update
, May 4, 2022 - FINRA Raises Stakes in 2022 for Firms Tolerating Bad Brokerage Disciplinary Histories,
Investment Management Update
, January 5, 2022 - Thompson Hine Adds Senior Lawyers Marc B. Minor and Eric E. Miller to Investment Management Practice,
Thompson Hine LLP
, August 10, 2020