The Investment Advocates
About
I focus on resolving financial claims against investment banks. As a claimants’ litigator for over a decade, I have prevailed in suitability and fraud claims against the largest of the Wall Street financial institutions. As a consultant I can help companies avoid costly litigation through compliance reviews, claims management processes, and customer service enhancements. I also help whistleblowers report illegal activity in the interests of consumer protection and pursuant to applicable securities regulations. I love what I do.
I enjoy working with my clients to achieve the best possible outcome for them and their families. I particularly enjoy leveling the power disparity between consumers and corporations such as financial institutions. I look forward to speaking with you to see whether I can be of assistance with your financial or investment concerns.
Photos and videos
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Frequently asked questions
What is your typical process for working with a new customer?
Initial phone call to establish an appointment for further discussions, preferrably in person, but also possible by telephone. The average intake session takes about an hour.
The next step for a new client would be to execute an engagement letter and collect the retainer.
What education and/or training do you have that relates to your work?
Dedicated and highly successful Certified Regulatory Compliance Professional (CRCP) and litigation counsel. Over eight years of comprehensive experience and understanding of financial and regulatory compliance and claims enforcement. Sixteen years of experience effectively litigating complex commercial claims, breach of fiduciary duty claims, and unfair and deceptive trade practice claims. Most claims are filed as arbitrations before FINRA, the Financial Industry Regulatory Authority, which has jurisdiction over investment professionals and companies.
CORE COMPETENCIES
- Results-driven Success as an Advocate for Consumers
- Case Management and Strategy
- Legal Research
- Document Preparation
- Administration of Policies at all organizational levels
- Negotiations and Settlements
- Regulatory Compliance
- Public Speaking concerning Compliance and Arbitration Claims
Do you have a standard pricing system for your services? If so, please share the details here.
Hourly or hybrid hourly / contingency fee arrangements considered. Credit cards accepted for retainers and replenishments.
How did you get started in this business?
I began my career in 2000 as a business attorney advising start-ups in the final months of the .com bubble. My interest in litigation and business law led me in 2005 to accept an invitation to become an arbitrator for the financial industry. From that point on I have explored the regulatory nuances of state and federal securities laws. I obtained certification as a regulatory and compliance professional in December, 2016. This training helps me understand many different perspectives of the process and merits concerning claims against financial industry companies.
What types of customers have you worked with?
Individual investors
Estates representatives
Hedge funds managers concerning compliance and regulatory engagement
Brokers embroiled in disputes with employers, or as whistleblowers, but not in defense of any customer complaint cases
Corporations concerning compliance consulting and systems for responsible claims handling
What questions should customers think through before talking to pros about their needs?
I hold myself to the highest standards of professional ethics and have a 10.0 rating on Avvo.com due to my personality and sound execution of strategy. I invite you to ask any questions and peruse the information about my law practice available online and then reach out through my website to arrange a consultation.