Distinguished Practitioner in Residence
Former General Counsel at DST Brokerage Solutions and its affiliate, DST Market Services, a FINRA member broker dealer, and one of the United States’ largest financial technology companies; while there focused on achieving business objectives, developing strategy designed to build market share and sustainable growth, while anticipating, managing and reducing areas of legal and regulatory compliance risks.
Specialities
Investment management law, commercial law, corporate governance, mergers and acquisitions, employment and labor law, litigation management, securities clearing, RIA custody, FINRA compliance, privacy law, data protection and cybersecurity regulation, AML, wealth management and robo advice regulation and law.
Lecturer on special topics including corporate organization, litigation management strategies, legal compliance, attorney-client privilege, the role of the corporate secretary, annual reports and annual meetings, among others.
Experience
General Counsel and a member of the Executive Committee, DST Brokerage Solutions, 2014–18
Managing Counsel, BNY Mellon | Pershing, 2008–14
Vice President – Legal and Compliance Division, Morgan Stanley, 2006–08
Counsel – Broker Dealer and Investment Adviser, Ameriprise Financial, 2003–06
Vice President and Director of Compliance, First of Michigan, 1996–98
Education
B.S., Rutgers University
J.D., Rutgers School of Law—Newark
