- Member, Rhode Island Bar Association
Education
- Georgetown University Law Center, J.D., magna cum laude, 1995
- Stanford University, A.B., 1991
Bar Admissions
- New York
- Rhode Island
Clerkships
- Hon. Warren W. Matthews, Alaska Supreme Court, 1995-1996
- Co-author, “Conviction in Insider Trading Case Brings New Attention to 10b5-1 Plans,” Troutman Pepper Locke, June 27, 2025.
- Author, “Public Companies Should Pay Attention to the Corporate Transparency Act,” Locke Lord, January 25, 2024.
- Author, “Tighter SEC Cybersecurity Incident Disclosure Requirements Go into Effect Today,” Locke Lord, December 18, 2023.
- Author, “SEC Adopts Revised Stock Buyback Disclosure Requirements,” Locke Lord, May 5, 2023.
- Author, “Short Extension of Clawback Policy Deadline Suggests Listed Companies Will Need to Adopt Policies by Early August,” Locke Lord, April 27, 2023.
- Author, “Updating Clawback Policies,” Locke Lord, April 5, 2023.
- Author, “Revisiting SEC Guidance on Non-GAAP Reporting,” Locke Lord, February 15, 2023.
- Author, “Electronic Form 144 Filings: Reminder of April 13th Deadline,” Locke Lord, February 13, 2023.
- Author, “SEC Turns Workplace Misconduct into Disclosure Controls Violation; Clarifies Protection for Whistleblowers,” Locke Lord, February 7, 2023.
- Author, “Annual SEC Reporting – Two Points to Note,” Locke Lord, February 2, 2023.
- Author, “SEC Adopts New Restrictions on 10b5-1 Plans, Related Disclosure Requirements and Section 16 Filing Changes,” Locke Lord, December 15, 2022.
- Author, “Delaware Now Permits Exculpation of Corporate Officers,” Locke Lord, August 4, 2022.
- Author, “SEC Proposes Climate-Related Disclosure Requirements,” Locke Lord, March 24, 2022.
- Author, “SEC Proposes to Shorten Schedule 13D/G Filing Deadlines and Count Equity Derivatives,” Locke Lord, February 17, 2022.
- Author, “SPACs and Legend Removal Opinions,” American Bar Association Business Law Today, January 24, 2022.
- Author, “Delaware Court Addresses De-SPAC Merger Claims,” Locke Lord, January 12, 2022.
- Author, “Delaware Court Provides Guidance on Director Liability for Distributions,” Locke Lord, December 9, 2021.
- Author, “Delaware Clarifies That Statutory Appraisal Rights Can Be Waived,” Locke Lord, October 14, 2021.
- Author, “Delaware Clarifies Its Rules Governing Stockholder Derivative Actions,” Locke Lord, October 13, 2021.
- Author, “Nasdaq Introduces Board Diversity Requirements,” Locke Lord, August 17, 2021.
- Author, “Charges Against Nikola Founder Provide Reminder to Use Caution in All Public Statements and Offer Governance Lessons,” Locke Lord, August 3, 2021.
- Author, “SEC Reminds Companies That Earnings Management Can Have MD&A Consequences,” Locke Lord, May 5, 2021.
- Author, “SEC Provides Reminder that Form 12b-25 is a Disclosure Document,” Locke Lord, April 30, 2021.
- Author, “Continued SEC Focus on SPACs,” Locke Lord, April 1, 2021.
- Author, ” Delaware Court of Chancery Reminds That Rights Plans Have Limits,” Locke Lord QuickStudy, March 11, 2021.
- Author, “SEC Focus on SPACs,” Locke Lord, December 29, 2020.
- Author, “Delaware Decision Has Lessons for Lenders and Others,” Locke Lord, December 21, 2020.
- Author, “SEC Revision of MD&A – Focus on Future Uncertainties Disclosure,” Locke Lord, December 10, 2020.
- Author, “SEC Proposes Changes to Equity Compensation Rules,” Locke Lord, December 3, 2020.
- Author, “SEC Modernizes Disclosure Requirements,” Locke Lord, August 27, 2020.
- Author, “SEC Updates Accredited Investor Definition; Makes Related Changes to Qualified Institutional Buyer Definition,” Locke Lord, August 27, 2020.
- Author, “SEC Adopts Amendments to Broaden the Accredited Investor and Qualified Institutional Buyer Definitions,” Locke Lord QuickStudy, August 27, 2020.
- Author, “SEC Adopts Rules for Proxy Voting Advisory Firms, Issues Supplemental Guidance for Investment Advisors,” Locke Lord, July 24, 2020.
- Author, “SEC Issues New COVID-19 Disclosure Guidance,” Locke Lord, June 25, 2020.
- Author, “Buybacks: How Companies Can Benefit From Undervalued Stock,” Locke Lord QuickStudy, June 2, 2020.
- Author, “SEC Streamlines Financial Statement Requirements for Acquired and Disposed Businesses,” Locke Lord QuickStudy, May 27, 2020.
- Author, “NYSE Follows NASDAQ in Temporarily Exempting Some Private Offerings From Shareholder Approval,” Locke Lord, May 18, 2020.
- Author, “Nasdaq Temporarily Permits Certain COVID-Related Private Offerings Without Shareholder Approval,” Locke Lord, May 7, 2020.
- Author, “SEC Provides Temporary Relief to Permit Expedited Crowdfunding Offerings in a Time of COVID-19,” Locke Lord, May 5, 2020.
- Author, “SEC and PCAOB Issue Warning on Risks of ‘Emerging Markets’ Investments,” Locke Lord, April 24, 2020.
- Author, “NYSE Also Extends Relief From Price-Based Listing Requirements,” Locke Lord, April 22, 2020.
- Author, “Nasdaq Extends Date for Compliance With Price-Related Listing Requirements,” Locke Lord, April 20, 2020.
- Author, “ISS and Glass Lewis Announce Flexibility In Corporate Governance Policies During COVID-19 Crisis,” Locke Lord, April 20, 2020.
- Author, “SEC Supplements Guidance for Conducting Shareholder Meetings,” Locke Lord, April 9, 2020.
- Author, “SEC Emphasizes Meaningful Disclosure Amid COVID-19 Uncertainties,” Locke Lord, April 9, 2020.
- Author, “SEC Issues Guidance on Deadline for Part III Information Omitted From Form 10-K,” Locke Lord, April 7, 2020.
- Author, “NYSE Gives Temporary Relief to Listed Companies for Private Placements with Insiders,” Locke Lord, April 8, 2020.
- Author, “SEC Provides COVID-19 Disclosure Guidance,” Locke Lord, March 27, 2020.
- Author, “Update: SEC Extends 45-Day Filing Relief Through July 1, 2020,” Locke Lord, March 27, 2020.
- Author, “Federal Reserve Will Become a Direct Lender to Corporations and an Investor in Corporate Bond Markets,” Locke Lord, March 26, 2020.
- Author, “Delaware Supreme Court Upholds Federal Forum Selection Provisions,” Locke Lord, March 19, 2020.
- Author, “SEC Coronavirus Guidance on Shareholder Annual Meeting Engagement,” March 16, 2020.
- Author, “SEC Proposes Sweeping Changes for Exempt Offerings,” Locke Lord, March 13, 2020.
- Author, “Update: SEC Provides Conditional Deadline Extensions,” Locke Lord, March 13, 2020.
- Author, “SEC Guidance on Coronavirus Disclosures,” Locke Lord, February 27, 2020.
- Author, “SEC Provides Guidance on Performance Metrics in MD&A; Proposes Financial Disclosure Changes,” Locke Lord, January 31, 2020.