Profile

Amy advises all manner of financial industry clients and reporting companies in connection with regulatory enforcement investigations and examinations, as well as internal investigations. Her clients include investment advisers, broker-dealers, hedge funds, mutual funds, securities issuers and reporting companies, and those providing services to those businesses, including accounting and audit firms.

Drawing on her broad commercial litigation background and experience leading an SEC regional office trial program, Amy provides practical and forward-looking guidance to clients, who seek her advice on matters as diverse as conflicts of interest, disclosure issues, sales practices concerns, insider trading/market abuse, financial and accounting issues, securities offerings, complex or novel products and trading, and whistleblower concerns.  

Amy is known for her ability to narrow the focus of an inquiry, get to the heart of an issue with precision, and efficiently manage complex matters, whether that means multiple jurisdictions, regulators, or litigation matters.