SEC Attorney Experience
Rob spent over ten years at the SEC in various capacities-Trial Attorney, Branch Chief, Senior Counsel, and Staff Attorney. In the SEC’s Division of Enforcement, Rob led enforcement litigation in federal courts and administrative proceedings, and directed/conducted complex investigations that resulted in significant enforcement actions, including halting a $160 million Ponzi scheme, charging a Fortune 500 company with FCPA violations, charging a Fortune 1000 company with accounting fraud, and prosecuting multiple insider trading cases and sophisticated market manipulation schemes. Rob also served in the SEC’s Division of Market Regulation (now the Division of Trading and Markets) where he reviewed market rules and analyzed market structure issues. While at the SEC, Rob served in the SEC’s Fort Worth and Washington, DC offices.
FINRA Attorney Experience
As a Senior Regional Counsel in FINRA’s Department of Enforcement in Dallas, Rob investigated violations of FINRA, SEC, and Municipal Securities Rulemaking Board (MSRB) rules, and the federal securities laws. Rob successfully handled enforcement cases involving high-frequency trading, complex products, inadequate anti-money laundering (AML) compliance programs, due diligence violations, supervision failures, misrepresentations in oil and gas offering materials, unsuitable recommendations, net capital violations, and broker misconduct.
DOJ Attorney Experience
Rob is also a former federal prosecutor. As an Assistant U.S. Attorney (AUSA) for the District of Arizona in the Economic Crimes and Public Integrity Unit and as a Special AUSA for the Northern District of Texas, Rob worked closely with various law enforcement agencies, such as the Federal Bureau of Investigation (FBI), Internal Revenue Service (IRS), U.S. Secret Service, and Postal Inspection Service, to prosecute high-profile white collar and public integrity cases. His cases included a 12 defendant mortgage and loan fraud scheme, a “politically sensitive” case of “extreme importance,” and an oil and gas offering fraud scheme that was included in The President’s Financial Fraud Enforcement Task Force. As a former federal prosecutor, Rob is versed in overt and covert investigative tactics.
Rob draws on his knowledge of the inner workings of regulatory and law enforcement organizations and his wide-ranging multi-agency experience when defending regulatory and white-collar investigations and prosecutions; advising corporations, hedge funds, broker-dealers, investment advisers, and other market participants on compliance and regulatory matters; and conducting internal investigations. Rob advises clients on matters involving the SEC, FINRA, DOJ, FBI, Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Public Company Accounting Oversight Board (PCAOB), Financial Crimes Enforcement Network (FinCEN), Office of Foreign Assets Control (OFAC), and other federal and state regulatory agencies, including the Texas State Securities Board (TSSB).
Recognition & Leadership
Awards & Accolades
•Selected, National Law Journal, “Cryptocurrency, Blockchain and FinTech Trailblazers,” 2018
•Selected, D Magazine, “Best Lawyers in Dallas,” 2018
•Guest of Honor, Decred.org, Politeia Blockchain Contest, Austin, Texas, Feb. 10, 2018
•Recipient, SEC, Division of Enforcement, “Director’s Award,” 2009
•Recipient, SEC, “Ultimate Investor Advocate Award,” 2005
•Recipient, SEC, “Chairman’s Award for Excellence,” 2002
•Gold Medal Recipient, President’s Council on Year 2000 Conversion, 2000
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