About

My expertise includes all aspects of dispute resolution, including negotiation, mediation, arbitration, general commercial litigation and internal investigations. Prior to starting my own firm, I specialized in securities law.  I spent ten years at the U.S. Securities Exchange Commission, where I most recently served as the SEC's second Ombuds, tasked with resolving public concerns about the SEC, its rules, and enforcement actions.  Prior to that time, I also participated in the drafting and implementation of SEC rules for the securities industry.

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Before joining the SEC, I led internal investigations of multinational corporations, successfully defended corporate directors and officers in shareholder derivative actions and securities class actions, arbitrated disputes between and among broker-dealers, and litigated insurance, reinsurance, and general commercial litigation matters.

I have written numerous legal publications, have been a host, moderator, panelist and speaker at securities industry events, and was formerly a professor of Securities Regulation at Vermont Law and Graduate School.