Helen focuses her practice on securities regulatory, compliance and enforcement matters affecting broker-dealers and investment advisers. She has had extensive experience as a regulator in conducting examinations, investigations and enforcement actions, and conversely, she also has significant experience in responding to inspection and examination requests of regulators including the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority, Inc. (FINRA), and state securities regulators.
Prior to joining McGuireWoods, Helen served as Vice President/Compliance Manager at the largest U.S. multinational financial institution, where she supported the retail broker-dealer and investment advisory business as a member of the compliance practices team. She served in a variety of senior management positions within FINRA, including serving as Vice President and Counsel for the Office of Oversight Liaison and Counsel. Additionally, Helen served as a Supervisor in FINRA’s TFCE Examinations department, as Branch Chief and Attorney-Adviser in the SEC’s Office of Compliance, Inspections and Examinations (OCIE), and as Staff Attorney and Branch Chief in the SEC’s Enforcement Division.
While at the SEC’s OCIE office, Helen supervised inspections that included all national and regional stock and option exchanges in the U.S., encompassing the exchanges’ enforcement and surveillance programs, including their order routing and execution systems. Also at the SEC’s Enforcement Division she conducted civil injunctive actions and administrative proceedings involving violations of the federal securities laws.