- Member, Federal Home Loan Bank of New York Board of Directors
- Board member, National Association of Women Lawyers
- Board member, Law360 Securities Editorial Advisory Board
- Board member, American Management Association (AMA)
- Audit Committee member, American Management Association (AMA)
Education
- Boston University School of Law, J.D., case and note editor, Probate Law Journal, 1995
- Boston University, B.A., cum laude, Dean’s List, 1992
Bar Admissions
- New Jersey
- New York
Court Admissions
- U.S. District Court, Eastern District of New York
- U.S. District Court, District of New Jersey
- U.S. District Court, Southern District of New York
- Moderator, “Broker/Dealer Lawyer and Compliance Officer Roundtable,” PLI Broker/Dealer Regulation and Enforcement 2025, October 9, 2025.
- Speaker, “Broker/Dealer Lawyer and Compliance Officer Roundtable,” Broker/Dealer Regulation and Enforcement 2024, October 18, 2024.
- Speaker, “The Enhanced Impact of Racism on Women of Color in the Legal Profession-More than Equality is Required,” Congresswoman Barbara Jordan Speaker Series on Race, Law, & Inequality 2024-2025, October 10, 2024.
- Panelist, “SEC Practice – Past, Present, and Future,” THE SEC at 90: A Celebration & Retrospective – PLI, July 17, 2024.
- Speaker, “Current Trends in Broker-Dealer Regulations and Enforcement,” New York City Bar Association’s Compliance Institute 2023, October 24, 2023.
- Moderator, “Broker/Dealer Regulation and Enforcement 2021,” Broker/Dealer Regulation and Enforcement 2021, Practising Law Institute, October 6, 2021.
- Panelist, “Enforcement Developments for Private Funds and Investment Management — What’s Happening Now?” Troutman Pepper, January 26, 2021.
- Panelist, “Challenging the SEC in Federal Court: Recent Developments in Case Law and Practice,” Challenging the SEC in Federal Court: Recent Developments in Case Law and Practice Notes, January 14, 2021.
- Speaker, “Broker/ Dealer Regulation and Enforcement 2020,” Practicing Law Institute, December 8, 2020.
- Speaker, “Current Issues in Investment Management Enforcement and Compliance,” Investment Company Institute 2020 Annual Mutual Funds and Investment Company Management Conference, March 25, 2020.
- Speaker, “Best Practices for Conducting Internal Investigations and Safeguarding Privilege,” Securities Industry & Financial Markets Association Legal & Compliance 2020 Annual Conference, March 17, 2020.
- Speaker, “Success as a Securities Lawyer,” PLI’s Securities Law and Practice 2019: How the SEC Works, October 17, 2019.
- Moderator, “Broker/Dealer Regulation and Enforcement 2019,” Broker/Dealer Regulation and Enforcement 2019, Practising Law Institute, October 10, 2019.
- Moderator, “Private Fund Adviser Regulation and Enforcement,” 2019 Private Funds Forum, Troutman Sanders, September 26, 2019.
- Panelist, “The Changing Regulatory Landscape in the Financial Services Industry,” The National Bar Association Annual Convention, July 25, 2019.
- Moderator, “Broker/Dealer Compliance Officer Roundtable,” Broker/Dealer Regulation and Enforcement 2018, Practising Law Institute (PLI), October 16, 2018.
- Faculty, “Securities Law and Practice 2018: How the SEC Works,” Practising Law Institute, New York, NY, October 15, 2018.
- Moderator, “Broker/Dealer Compliance Officer Roundtable,” PLI Broker/Dealer Regulation and Enforcement 2017, New York, NY, October 17, 2017.
- Panelist, “Hot Topics in Securities Enforcement ,” SIFMA Compliance & Legal Society Charlotte Regional Seminar, September 2017.
- Panelist, “Everyday Legal Ethical Issues,” Compliance and Legal Society Annual Seminar, March 20, 2017.
- Speaker, “Ethical Issues for Legal and Compliance Officers – Trends, Developments & Strategies,” SIFMA Compliance and Legal Society New York Regional Seminar, November 2, 2016.
- Speaker, “The Known Unknowns: An Update from the Office of Compliance Inspections and Examinations,” Investment Company Institute 2016 Mutual Funds and Investment Management Conference, Orlando, FL, March 13-16, 2016.
- Speaker, “Are You Ready? Practical Strategies When Assessing How Best to Respond to Government Investigations,” Federation of Defense and Corporate Counsel Symposium, New Orleans, LA, September 29, 2015.
- Speaker, “Managing Costs of Government Investigations,” American Conference Institute, New York, NY, October 24, 2013.
- Speaker, “Broker/Dealer Regulation and Enforcement 2013,” Practicing Law Institute, New York, NY, October 23, 2013.
- Panelist, “Government Investigations: Navigating Your Pathway to a Reasonable Resolution,” National Bar Association, New York, NY, June 14, 2013.
- Speaker, “The Evolving Role of the SEC: How to Anticipate, Read and Respond to the Current Regulatory Environment,” American Bar Association, Litigation Section, Chicago, IL, April 26, 2013.
- Speaker, “Handling a Securities Case 2013: From Investigation to Trial and Everything in Between, The Investigation,” Practicing Law Institute, New York, NY, April 25, 2013.
- Speaker, “Hon. Theodore T. Jones, Jr. Trial Workshop,” Metropolitan Black Bar Association, New York, NY, April 13, 2013.
- Speaker, “The Investigation: Coordinating Requests From Government Regulators,” Practicing Law Institute, New York, NY, April 26, 2012.
- Panelist, “The Intangible Elements of Litigation,” The Metropolitan Black Bar Association, New York, NY, March 8, 2012.
- Panelist, “Minority Women Litigators: Experiences in the Courtroom and Beyond,” New York City Bar Association, New York, NY, October 25, 2011.
- Speaker, “Government Initiatives and Perspectives/How to Deal Effectively With the Government,” Practicing Law Institute, New York, NY, September 20, 2011.
- Co-author, “SEC Charges TZP Management Associates With Breaching Fiduciary Duty by Overcharging Management Fees to Private Funds,” Troutman Pepper Locke, August 22, 2025.
- Co-author, “SEC Launches AI Task Force,” Troutman Pepper Locke, August 6, 2025.
- Co-author, “Conviction in Insider Trading Case Brings New Attention to 10b5-1 Plans,” Troutman Pepper Locke, June 27, 2025.
- Co-author, “Supreme Court Denies Certiorari in SEC Disgorgement Case,” Troutman Pepper Locke, June 11, 2025.
- Co-author, “SEC Briefs Disgorgement and Investor Harm in Navellier v. SEC,” Troutman Pepper Locke, May 16, 2025.
- Co-author, “First Circuit Questions Materiality in SEC’s Case Against Commonwealth Equity Services,” Troutman Pepper Locke, April 16, 2025.
- Co-author, “SEC Reportedly Announces Major Reorganization of Enforcement and Exams Division,” Troutman Pepper Locke, April 7, 2025.
- Co-author, “4 Actions for Cos. as SEC Rebrands Cyber Enforcement Units,” Law360, March 21, 2025.
- Co-author, “SEC Reportedly Plans to Cut Regional Directors as Cost-Saving Measure,” Troutman Pepper Locke, February 27, 2025.
- Co-author, “US v. Brown: District of Columbia Circuit Rules on Compelled Biometric Unlocking of Cellphones,” Troutman Pepper Locke, January 29, 2025.
- Co-author, “Evolution of Administrative Adjudication Post-Jarkesy,” The Investment Lawyer, December 2024.
- Co-author, “SEC 2024 Enforcement Results: A Decline in Total Enforcement, but a Record-Breaking Recovery of Financial Remedies,” Troutman Pepper, December 5, 2024.
- Co-author, “The SEC’s Division of Examinations Announces 2025 Priorities,” Troutman Pepper, October 31, 2024.
- Co-author, “SEC Charges Broker-Dealer and Two Affiliated Investment Advisers With Violating Whistleblower Protection Rule,” Troutman Pepper, September 9, 2024.
- Co-author, “SolarWinds Ruling Offers Cyber Incident Response Takeaways,” Law360, August 6, 2024.
- Co-author, “Supreme Court Limits SEC’s In-House Adjudication,” Troutman Pepper, July 3, 2024.
- Co-author, “FINRA’s Crackdown on Firms’ Use of Social Media Influencers Continues,” Troutman Pepper, July 2, 2024.
- Co-author, “SEC Charges Investment Advisor for Misleading Disclosures About Its Work With Short Publishers,” Troutman Pepper, June 28, 2024.
- Co-author, “Influencer Considerations As FINRA Initiates Crackdown,” Law360, May 22, 2024.
- Co-author, “FINRA’s First Disciplinary Action Targeting Firm’s Use of Social Media Influencers,” Troutman Pepper, April 16, 2024.
- Co-author, “The SEC Voluntarily Stays Climate-Related Disclosure Rules Pending Eighth Circuit Judicial Review,” Troutman Pepper, April 10, 2024.
- Co-author, “2023 Year-In-Review: Key Enforcement Initiatives and Cases in Crypto, Cyber, SPACs, Whistleblowers, and the Future of Administrative Law Proceedings,” Troutman Pepper, February 28, 2024.
- Co-author, “11th Circuit Rules Against SEC Penny-Stock Ban,” Troutman Pepper, February 23, 2024.
- Co-author, “SEC Investigations and Enforcement: Responding to a Request for Information and Documents,” LexisNexis Practical Guidance, January 17, 2024.
- Co-author, “SEC Releases Fiscal Year 2023 Enforcement Results,” Troutman Pepper, November 27, 2023.
- Co-author, “SCOTUS to Hear Dispute Over SEC Disclosure Rules,” Troutman Pepper, October 4, 2023.
- Co-author, “SEC Charges Privately Held Monolith Resources for Violating Whistleblower Protection Rules,” Troutman Pepper, September 15, 2023.
- Co-author, “Supreme Court Review May Prove the Death Knell to SEC Administrative Courts,” Troutman Pepper, July 5, 2023.
- Co-author, “SEC Issues Risk Alert on Safeguarding Customer Records and Information at Branch Offices,” Troutman Pepper, May 5, 2023.
- Co-author, “Proposed SEC Rule Would Place Cryptocurrency Trading Platforms Under SEC Jurisdiction,” Troutman Pepper, May 4, 2023.
- Co-author, “Unanimous Supreme Court Decision Allows for Early Challenges to Federal Agency Enforcement Actions,” Troutman Pepper, April 20, 2023.
- Co-author, “Encrypted Electronic Instant Messaging Applications Continue to Catch the Government’s Attention,” Troutman Pepper, April 7, 2023.
- Co-author, “SEC ‘Levels Up’ in $235M Resolution of Alleged Whistleblower Protection Violations and Compliance Program Failures Against Activision Blizzard,” Troutman Pepper, February 7, 2023.
- Co-author, “Federal Judge Refuses to Dismiss Tobacco and Cannabis Company’s Class-Action SEC Disclosure Suit Based on 10b-5(b) Scienter and Loss Causation Requirements,” Troutman Pepper, February 6, 2023.
- Co-author, “SEC Targets SPAC Conflicts of Interest,” The Investment Lawyer, Vol. 29 No. 12, December 2022.
- Co-author, “Prosecutors and Regulators Announce Criminal Charges and Civil Enforcement Actions Against Sam Bankman-Fried Following FTX Collapse,” Troutman Pepper, December 16, 2022.
- Co-author, “SEC Advises Companies to Disclose Crypto Market Exposure,” Troutman Pepper, December 13, 2022.
- Co-author, “SEC’s Enforcement Results for FY 2022 Reflect Robust Enforcement and Record-Breaking Penalties,” Troutman Pepper, November 22, 2022.
- Co-author, “SEC Scores Victory in Ongoing Effort to Classify Cryptocurrencies as Securities,” Troutman Pepper, November 17, 2022.
- Co-author, “Full Scale of Constitutionality of SEC’s Adjudication System Underway,” Pensions & Investments, November 4, 2022.
- Co-author, “SEC Modernizes Its Recordkeeping Requirements for Certain Registrants,” Troutman Pepper, November 2, 2022.
- Co-author, “SEC Reiterates Auditor Responsibilities in Risk Assessment,” Troutman Pepper, October 27, 2022.
- Co-author, “SEC Digs in on Loss Contingency Disclosure Requirements,” Troutman Pepper, October 12, 2022.
- Co-author, “SEC Reaffirms 10b5-1 Plans Provide No Protection if Plans Not Established in Good Faith,” Troutman Pepper, October 3, 2022.
- Co-author, “SEC Targets SPAC Conflicts of Interest,” Troutman Pepper, September 23, 2022.
- Co-author, “It’s Not “Business as Usual” for DOJ’s Corporate Criminal Enforcement Efforts,” Troutman Pepper, September 20, 2022.
- Co-author, “Plea Deal in First-Ever Cryptocurrency Insider Trading Case,” Troutman Pepper, September 16, 2022.
- Co-author, “SEC Boosts Whistleblower Incentives After Two Record-Breaking Years,” Troutman Pepper, August 31, 2022.
- Co-author, “SEC Cracks Down on Encrypted Messaging,” Troutman Pepper, August 2, 2022.
- Co-author, “SEC Expands Crypto Assets and Cyber Unit,” Troutman Pepper, May 20, 2022.
- Co-author, “SEC Proposed Form PF Amendments Kick Off SEC Chair Gensler’s Push for Increased Transparency for Private Funds,” The Investment Lawyer, May 2022.
- Co-author, “Recent SEC Complaint Signals Increased Enforcement Risk for Companies on ESG Disclosures,” Troutman Pepper, May 10, 2022.
- Co-author, “Not Your Keys, Not Your Coin: SEC Tells Crypto-Custody Providers to Report Platform Users’ Crypto Holdings as Balance Sheet Liabilities,” Troutman Pepper, April 25, 2022.
- Co-author, “World’s Largest Cryptocurrency Exchange Wins Dismissal of Class-Action Lawsuit,” Troutman Pepper, April 19, 2022.
- Co-author, “Circuit Decision Provides SEC Roadmap to Seek Disgorgement Post-Liu,” INSIGHTS: The Corporate & Securities Law Advisor, March 2022.
- Co-author, “FinCEN Implores Vigilance From Financial Institutions in Anticipation of Attempted Russia Sanctions Evasion,” Troutman Pepper, March 16, 2022.
- Co-author, “Biden Signs Executive Order on Cryptocurrency,” Troutman Pepper, March 10, 2022.
- Co-author, “FINRA Report Highlights New Topics and Emerging Risks for 2022,” Troutman Pepper, February 17, 2022.
- Co-author, “SEC Settlement Shows Commission’s Willingness to Waive Penalties for Investigatory Targets Focusing on Corrective Action,” Troutman Pepper, February 4, 2022.
- Co-author, “SEC’s New Insider “Shadow Trading” Theory Survives Its First Test,” Troutman Pepper, February 1, 2022.
- Co-author, “SEC’s New Enforcement Priorities Likely to Affect Settlement Requirements, Crowdfunding Regulation,” The Investment Lawyer, January 2022.
- Co-author, “SEC Proposed Form PF Amendments Kick Off SEC Chair Gensler’s Push for Increased Transparency for Private Funds,” Troutman Pepper, January 26, 2022.
- Co-author, “Second Circuit Affirms De Maison Disgorgement Amount as Reasonable,” Troutman Pepper, January 4, 2022.
- Co-author, “State Regulators Block Celsius from Offering Interest-Bearing Cryptocurrency Accounts,” The Banking Law Journal, January 2022.
- Co-author, “SDNY Backs SEC Whistleblower Protections, Clarifying Their Scope,” Troutman Pepper, November 24, 2021.
- Co-author, “SEC Investment Adviser Examinations Highlight Errors,” Troutman Pepper, November 18, 2021.
- Co-author, “President Biden’s Working Group on Financial Markets Issues Report on Stablecoins,” Troutman Pepper, November 3, 2021.
- Co-author, “SEC Outlines Division of Examinations Priorities at Annual “SEC Speaks” Forum,” Troutman Pepper, October 29, 2021.
- Co-author, “Circuit Decision Provides SEC Roadmap to Seek Disgorgement Post-Liu,” Troutman Pepper, October 26, 2021.
- Co-author, “New York Doubles Down on Regulatory Scrutiny of Crypto Lending Firms,” Troutman Pepper, October 22, 2021.
- Co-author, “SEC Signals Shift Away From “Neither Admit Nor Deny” Approach to Settling Enforcement Actions,” Troutman Pepper, October 21, 2021.
- Co-author, “SEC Focused on Enforcement in the Crowdfunding Space,” Troutman Pepper, October 18, 2021.
- Co-author, “State Regulators Block Celsius From Offering Interest-Bearing Cryptocurrency Accounts,” Troutman Pepper, October 7, 2021.
- Co-author, “Securities & Exchange Commission Tests New Insider Trading Theory,” Troutman Pepper, August 26, 2021.
- Co-author, “New FINRA Guidance Suggests Increased Scrutiny of Member Firms’ Relationships with Third-Party Vendors,” Troutman Pepper, August 19, 2021.
- Co-author, “Gensler Speaks on Crypto at Aspen Security Forum,” Troutman Pepper, August 5, 2021.
- Co-author, “SEC Division of Examinations Issues Risk Alerts on Cross Trades and Wrap Fee Programs,” Troutman Pepper, August 3, 2021.
- Co-author, “SEC Increases Data Analytics Focus to Identify Securities Law Violations,” INSIGHTS: The Corporate & Securities Law Advisor, July 2021.
- Co-author, “Companies Should Exercise Caution When Addressing Anonymous Whistleblower Complaints,” Troutman Pepper, July 13, 2021.
- Co-author, “Recent Developments in Auditing Could Create Tensions, Leading to More Regulatory Actions,” Troutman Pepper, July 2, 2021.
- Co-author, “SEC Cases Offer Insight into Its Approach to Alleged COVID-19 Securities Fraud,” Troutman Pepper, June 29, 2021.
- Co-author, “Gensler’s SEC Agenda: Commitment to ESG and Increased Disclosures,” Troutman Pepper, June 25, 2021.
- Co-author, “SolarWinds Cyberattack Generates Recent Widespread SEC Enforcement Requests,” Troutman Pepper, June 23, 2021.
- Co-author, “SEC Commentary Highlights Increased Focus on Data Analytics in Identifying Potential Securities Law Violations,” Troutman Pepper, June 14, 2021.
- Co-author, “It’s Official: Circuits are Split on Domestic Transaction Test,” Troutman Pepper, June 9, 2021.
- Co-author, “SEC Has Its Eye on SPACs,” Troutman Pepper, April 6, 2021.
- Co-author, “Record-Breaking Year for CFTC Enforcement Division Shows Continued Growth of Enforcement Program and No Slowing Down in FY 2021,” Troutman Pepper, March 16, 2021.
- Co-author, “DOJ’s Robust 2020 Pandemic Response Signals Increasing Focus on COVID-19-Related Fraud in 2021,” Troutman Pepper, March 10, 2021.
- Co-author, “SEC Creates Climate and ESG Enforcement Task Force,” Troutman Pepper, March 8, 2021.
- Co-author, “FINRA Publishes New Annual Report on FINRA’s Examination and Risk Monitoring Program,” Troutman Pepper, March 3, 2021.
- Co-author, “Return of More Subpoena Power to SEC’s Division of Enforcement,” Troutman Pepper, February 23, 2021.
- Co-author, “Congress Passes Law Expanding the SEC’s Ability to Seek Disgorgement,” Troutman Pepper, January 4, 2021.
- Co-author, “SEC Expands Scope of COVID-19-Related Enforcement Actions With Penalty Against Cheesecake Factory for Misleading Investors,” Troutman Pepper, December 11, 2020.
- Co-author, “Ex-Informant Ruling Guides on Challenging SEC Enforcement,” Law360, November 18, 2020.
- Co-author, “Highlights: SEC Division of Enforcement 2020 Annual Report,” Troutman Pepper, November 18, 2020.
- Co-author, “SEC Enforcement Case Offers Important Lessons about Internal Controls and Stock Buybacks,” Troutman Pepper, November 5, 2020.
- Co-author, “Gov’t Informant Ruling Will Limit Recourse for SEC Targets,” Law360, October 7, 2020.
- Co-author, “Oh, What a Relief Liu Is: Liu v. SEC and Relief Defendant Disgorgement,” Business Law Today, August 7, 2020.
- Co-author, “Insider Trading in the Time of COVID-19: Risks and Best Practices,” INSIGHTS: The Corporate & Securities Law Advisor, May 2020.
- Co-author, “COVID-19: The Risks and Rewards of Remote Videoconferencing,” Troutman Sanders, April 29, 2020.
- Co-author, “Protecting Your Company From COVID-19 Insider Trading,” Troutman Sanders, April 6, 2020.
- Co-author, “The Foundation of a Regulation Best Interest Compliance Program,” Financial Advisor, November 5, 2019.
- Co-author, “Firms Should Stay Course Amid New Broker Standard Suits,” Law360, September 25, 2019.
- Co-author, “Patchwork of Broker Conduct Regs Complicates Compliance,” Law360, July 12, 2019.
- Author, “Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to ‘Do Their Part,’” Subject to Inquiry, June 26, 2017.
- Author, “U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Orders,” Subject to Inquiry, June 6, 2017.
- Author, “An Uncertain Future for ‘Neither Admit nor Deny’ Settlements”, American Bar Association, Section of Litigation, May 10, 2012.
- Quoted, “Recent Charges Against Financial Firms Show That the SEC’s Texting Probe Is Far From Over,” International Banker, October 14, 2024.
- Quoted, “Texting: Wall Street’s Latest Dilemma,” Wall Street Journal, October 31, 2023.
- Quoted, “The Finance Sector’s $2.5 Billion Communications Compliance Crisis,” Grip, September 11, 2023.
- Quoted, “Supreme Court Hears Arguments on Allowing Challenges to SEC’s In-House Judges,” Pensions & Investments, November 4, 2022.
- Quoted, “Loss Contingencies: Recent Enforcement Action Shows Need for Good Faith Assessment,” TheCorporateCounsel.net, October 21, 2022.