Work:
STATE OF FLORIDA, OFFICE OF FINANCIAL REGULATION, DIVISION OF ENFORCEMENT
Jul 2014 to 2000
Area Financial Manager
CompliGlobe Ltd.
London, OH
Nov 2013 to May 2014
Managing Director, Europe
STATE OF MINNESOTA DEPARTMENT OF COMMERCE
Saint Paul, MN
Feb 2012 to Oct 2013
Division of Securities, Chief Examiner
FINRA DISPUTE RESOLUTION
Minneapolis, MN
2001 to Mar 2012
Chief Arbitrator
Enforcement
Jan 2011 to Feb 2012
Senior Investigator
ATLAS, PEARLMAN & TROP, P.A
Fort Lauderdale, FL
1988 to 1990
Securities Litigation Attorney
U.S. SECURITIES AND EXCHANGE COMMISSION
Miami, FL
Jan 1984 to Jan 1988
S.E.C. ENFORCEMENT ATTORNEY
Education:
University of Florida
Gainesville, FL
1983
JURIS DOCTOR, with Honors in Law
Emory University
Atlanta, GA
1980
BACHELOR OF ARTS in HISTORY
Skills:
Law, securities regulation, litigation, arbitration, settlement, broker-dealers, investment advisers, compliance, drafting legislation, legal research and writing, review of private placement memoranda