I represent public and pre-IPO companies, financial institutions, asset management firms, boards of directors, special committees and individuals in internal investigations, SEC and other government investigations as well as compliance-related issues. I joined Morrison & Foerster in March 2019 after serving over 16 at the SEC, most recently as the Regional Director of the SEC's San Francisco Office.
I have experience in matters related to financial reporting and accounting, disclosure, insider trading, offering fraud, investment adviser and broker dealer fraud, auditor misconduct, market structure and the Foreign Corrupt Practices Act (FCPA). As Regional Director of the SEC’s San Francisco Office, I led a staff of over 130 attorneys, accountants and professionals and worked closely with leadership in numerous U.S. Attorney’s Offices, the Department of Justice, FINRA, the PCAOB, the CFTC, state securities regulators in California, Oregon, Washington, Idaho, Montana and Alaska as well as the UK’s Financial Conduct Authority, the Hong Kong Securities and Futures Commission and the China Securities Regulatory Commission.
In addition to my time at the SEC, I also served as an Assistant U.S. Attorney in the Northern District of Texas (CHIP and General Crimes Units), as a trial attorney in the Civil Rights Division of the U.S. Department of Justice, and as a law clerk for the Honorable Robert P. Patterson, Jr., in the U.S. District Court, Southern District of New York. I also have experience in private practice at other large law firms.
Former member of the San Francisco Chapter.