Bill is a member of the firm’s Financial Services & Securities Enforcement Department. Bill represents clients in complex securities matters, focusing on internal investigations, regulatory enforcement proceedings and litigation.
Bill’s experience includes representing broker-dealers, investment advisers, registered representatives, senior management and others in investigations and enforcement proceedings brought by the SEC, FINRA, and other self-regulatory organizations as well as state regulators. In addition to handling investigations and litigation, Bill counsels companies and individuals on compliance with securities industry rules, reporting requirements, best practices, enhancements to policies and procedures, regulatory developments and enforcement trends. Bill’s extensive experience includes serving as outside counsel for various national and regional securities firms. Bill served as an arbitrator for the NYSE, and currently serves as an arbitrator for FINRA Dispute Resolution and the National Futures Association.
Experience
- Representation of broker-dealer and investment adviser in multiple investigations relating to supervision of sales practices of dual-registered personnel.
- Representation of a broker-dealer and investment adviser in SEC and FINRA investigation into billing practices, proxy delivery and trade confirmations.
- Representation of a broker-dealer and supervisor in a federal grand jury investigation relating to alleged tax evasion and money laundering involving offshore accounts.
- Representation of a trading desk supervisor in defense of FINRA investigation into bond mark-ups.
- Representation of investment adviser in SEC investigation relating to conflicts of interest relating to selection of asset managers.
- Representation of a broker-dealer in parallel federal grand jury, FINRA and state securities investigations relating to an arbitrage investment fund.
- Representation of broker-dealers in multiple FINRA enforcement investigations involving structured notes, exchange traded funds and foreign currency transactions.
- Representation of broker-dealers in FINRA and state securities investigation into marketing of high-yield securities.
- Representation of a broker-dealer in parallel investigations by FINRA and state securities regulators regarding Regulation T compliance.
- Representation of a bank and broker-dealer in parallel Department of Labor and FINRA investigations into an allegedly fraudulent promissory note scheme.
- Representation of broker-dealers in SEC investigations into insider trading.
- Representation of a broker-dealer in parallel federal grand jury, FINRA and state securities investigations into an allegedly fraudulent real estate development project.
- Representation of a broker-dealer in parallel investigations involving federal grand jury, FINRA and state securities investigations regarding an allegedly fraudulent movie production venture.
- Representation of a broker-dealer in a nationwide FINRA investigation into alleged cheating on continuing education exams.
- Representation of an insurance agent and agency in state insurance investigation into sales practices.
- Representation of broker-dealers in multiple FINRA enforcement investigations relating to advertising and sales literature.
- Representation of hedge funds in market timing investigations by SEC and state regulators.
- Representation of the Special Litigation Committee of a NYSE-listed corporation in successfully defending against shareholder derivative claims.
- Representation of a law firm in defense of class action and federal receiver claims relating to an allegedly fraudulent private placement offering.
- Representation of broker-dealers in FINRA arbitrations and related litigations involving sales practice claims by customers.
- Representation of broker-dealers in various FINRA investigations into variable annuity sales practices and procedures.
- Representation of broker-dealers nationwide in recruiting disputes, including applications for injunctive relief and arbitrations, and related employment claims and promissory note disputes.
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Rutgers School of Law - NewarkJD
with honors
1988 -
University of RichmondBS
cum laude
1984
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Selected for inclusion in The Best Lawyers in America, Commercial Litigation, Woodward/White, Inc., 2017-2023
The Best Lawyers in New York City, Commercial Litigation, 2016
The Best Lawyers Business Edition, Commercial Litigation, 2014
AV Peer Review rated, Martindale-Hubbell
- Author, SEC Issues Risk Alert on Reg BI Deficiencies Identified During Exams, McGuireWoods Legal Alert, February 2, 2023
- Author, FINRA Issues New Guidance Regarding Customer Communications Relating to Departing Registered Representatives, Subject to Inquiry, April 17, 2019
- Author, SEC Launches Self-Reporting Initiative for Investment Advisers, McGuireWoods Legal Alert, February 14, 2018
- Author, Beware What You Share: Privilege Waiver Risks in Investigations, Subject to Inquiry, January 18, 2018
- Author, SEC Expected to Expedite FCPA Investigations in Light of Kokesh, Subject to Inquiry, November 17, 2017
- Author, Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”, Subject to Inquiry, June 26, 2017
- Author, U.S. Supreme Court Rules Time Limits Apply to SEC Disgorgement Orders, Subject to Inquiry, June 6, 2017
- New Jersey
- New York
- U.S. Court of Appeals for the 2nd Circuit
- U.S. Court of Appeals for the 3rd Circuit
- U.S. District Court for the District of New Jersey
- U.S. District Court for the Eastern District of New York
- U.S. District Court for the Southern District of New York
- Speaker, "What to Expect in Customer Arbitrations and Litigation," Mid-2020, What to Expect… A Look Toward the Future, July 29, 2020
- Speaker, "Product Supervision and Hot Topics," Fidelity Broker-Dealer Compliance Roundtable, April 2019
- Speaker, "Variable Annuity Sales Practice and Supervision," Legal And Compliance Annual Seminar, April 2010