Assistant Director (May 2012 – Oct. 2016): As an Assistant Director, I led a team investigating and litigating alleged violations of all aspects of the federal securities laws and regulations. Our team investigated an unusually broad array of cases, with public finance cases being the only area in which we did not have a matter during those four years. Examples of our cases include SEC v. Lek, et al. (BD and Market Manipulation); In re ENI (FCPA); In re Halliburton (FCPA); In re Albert Fried (first stand-alone failure to file SARs matter); and SEC v. Roberts (Subpoena Enforcement Action).
Staff Attorney and Senior Counsel, Core and Market Abuse Unit (Jan. 2008 – May 2012): As an investigative attorney, I investigated a broad complex array of cases. Two significant and first-of-their-kind matters that I investigated as the lead attorney are SEC v. Charles Schwab Investment Management, et al. and the Investigation of the May 6, 2010, Market Break. My work was recognized with the 2010 Ellen B. Ross Award (Section 13(a) Amicus curiae brief); 2010 Chairman’s Award (May 6, 2010, Flash Crash); 2009 Director’s Award (Schwab YieldPlus Fund); and multiple other Director’s and Special Act Awards. I was selected to be a member of the Market Abuse Unit at its creation in 2010.
Milbank, Tweed, Hadley & McCloy (1993 – 1999): As both a summer associate and an associate at Milbank, I had a litigation and regulatory practice focused on finance, corporate governance, internal investigations, accounting, bank regulatory and transactional matters in various state and federal trial, appellate and administrative proceedings, including Winstar-Related Cases in the U.S. Supreme Court and the Federal Claims Court and other cases before New York and Delaware State Courts. During my time at Milbank, among other things, I conducted an internal investigation of a billion-dollar corporation, and negotiated and successfully defended a multi-million-dollar settlement in Delaware Chancery Court; actively participated in discovery and the liability and damages phases of four Winstar-related cases before the Federal Claims Court, and drafted amici curiae briefs filed with the U.S. Supreme Court; received a pro bono award for obtaining full SSI benefits for a client in an administrative law proceeding; and deposed and prepared witnesses in a major pre-Enron accounting case for Chase Manhattan Bank. In addition, among my favorite work at the firm, was William Webster asking me to serve as his de facto law clerk for a multi-million-dollar arbitration, and Eliot Richardson asking me to help to research and edit a chapter of his book, “Radical Moderate.”
Education, Bar Memberships, and Security Clearance
I am a triple Hoya. Most recently, I graduated with Distinction in 2007 from the Georgetown University Law Center (“GULC”) with a Master of Law (LL.M.) in Securities and Financial Regulation. I was on the Dean’s List every semester, and won the Future Excellence Award for Best Paper/Exam in Federal Regulation of Financial Institutions and the Future Excellence Award for Best Paper/Exam in Securities Enforcement. My graduate paper was titled, “Executive Compensation: Critique of the Proposed Rule of the SEC.” I also earned my Juris Doctor from GULC in 1994, graduating Magna Cum Laude and Order of the Coif. I was again on the Dean’s List every semester, received Honors for Legal Research and Writing, and was the Administrative Editor of THE TAX LAWYER from March 1993 to March 1994 and a staff member from August 1992 to March 1993. Finally, I earned a Bachelor of Science of Foreign Service from Georgetown University School of Foreign Service, and again was on the Dean’s List. I hold an active TS/SCI clearance. My bar memberships are in New York (1995); the District of Columbia (1997, currently inactive); Massachusetts (2001); and the United States Supreme Court (2009). Georgetown University awarded me a proficiency of “Good” in written and spoken German, and I have knowledge of written and spoken French.