Over 30 years of regulatory, litigation and compliance experience in the securities industry. Five plus years as transactional securities and commodities attorney including corporate governance issues.Eight plus years as securities regulator with the U.S. Securities and Exchange Commission in both the Division of Corporation FInance and the Division of Enforcement. Twelve years as in-house counsel providing litigation/arbitration, regulatory and compliance advice to wire house, bank brokerage and independent contractor distribution channels. Specialties: Securities arbitration and regulatory attorney with extensive experience in a wide variety of customer and employment matters. Substanti