Founder, Former Finra Executive, Guidance for Broker-Dealer and Investment Advisers
Silver Spring, Maryland
Scopus Financial Group
Founder, Former Finra Executive, Guidance for Broker-Dealer and Investment Advisers
European Commission
Staff
Investment Company Institute
Associate Counsel
Real Street X
Member of the Board of Advisors
Financial Industry Regulatory Authority
Executive Vice President, Regulatory Policy and Legal Compliance Officer, Finra
U.S. Securities and Exchange Commission
Special Counsel
InvestorPOS Inc.
Member, US Board of Advisors
ALTI
Senior Advisor
The University of Texas School of Law
Rice University
