• Represents numerous broker-dealers, registered representatives, and investment advisors with respect to regulatory and general business issues focusing on SEC, FINRA, NYSE, and state regulatory matters, including court and administrative litigation and arbitrations.
• His practice also includes public and private offerings and general corporate law.
Professional and Community Involvements
• Served as Director of the Massachusetts Securities Division; 1979-1986
• Former President of the North American Securities Administrators Association, Inc. (NASAA); 1983-1984 and a member of its Board of Directors from 1980 to 1985
• Former Chair of the Massachusetts Bar Association's Securities Law Committee; 1991-2000
• Former Chair of the New England Securities Law Conference; 1991-2001.
• Member of the Board of Advisors for the Boston University Metropolitan College Program for Financial Planners since 1989.
• Adjunct Professor in the Law Department of Bentley College from 1993-1999, teaching Securities Regulation to full-time students.
• Frequent speaker at securities industry seminars and continuing legal education programs, a contributor to several securities industry periodicals and the author of a chapter on state securities regulation contained in a treatise on securities law.
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