Steve defends government investigations, conducts internal investigations, and resolves litigation matters for financial services clients.
He is a member of the firm’s Government Investigations & White Collar Litigation Department, which was recognized by Law360 as a Practice Group of the Year, and the firm’s Securities Enforcement & Regulatory Counseling practice group. He advises and represents institutions and individuals in investigations and enforcement actions before the Financial Industry Regulatory Authority, the Securities and Exchange Commission, the Department of Justice, and state regulators including the Massachusetts Securities Division and the New York State Division of Human Rights. Steve also advises broker-dealers and investment advisers on compliance with their supervisory and regulatory reporting obligations. Steve was seconded for 13 months to a major financial institution’s legal department.
While in law school, he served as a legal intern in the U.S. Attorney’s Office for the Southern District of New York.
- Represented a broker-dealer in an enforcement investigation into firm supervision of double-dipping and mutual fund switching; represented supervisors in interviews.
- Conducted an internal investigation on behalf of a financial institution into a multimillion-dollar sales practice claim. Advised on settling the claim, defended resulting regulatory investigations and employment claim, and recommended control enhancements based on investigation findings.
- Coordinated an internal investigation into employee misconduct at a major financial institution, leading a team in conducting more than 50 branch-level investigations into sales practice issues.
- Represented a broker-dealer in an enforcement investigation concerning best execution rules.
- Conducted an internal investigation on behalf of a financial institution into a $100 million check kiting scheme, defending against a U.S. Attorney investigation and claims by a bankrupted party.
- Represented a broker-dealer and firm employees in a SEC examination, FINRA investigation, and investigation by a state securities regulator into a financial advisor’s sales practices.
- Counseled a broker-dealer on compliance with and supervision of FINRA rules on new issues.
- Represented financial institutions against customer complaints, including sales practice claims, claims of elder abuse, and discrimination claims.
New York University School of LawJD
Staff Editor, Journal of Law and Business
University of MarylandBAGovernment and Politics
- University of MarylandBSElectrical Engineering
- Speaker, "What to Expect in Customer Arbitrations and Litigation", Mid-2020, What to Expect… A Look Toward the Future, July 29, 2020
- New York
- U.S. District Court for the Southern District of New York
- U.S. District Court for the Eastern District of New York
- Author, Update No. 9: Financial Services Regulators and SROs Continue to Address COVID-19 Impact, McGuireWoods Legal Alert, May 21, 2020
- Author, Update No. 8: FINRA Continues to Address COVID-19 Impact on Financial Industry, McGuireWoods Legal Alert, May 14, 2020
- Author, Update No. 7: SEC Urges Municipal Issuers to Voluntarily Expand Disclosures, McGuireWoods Legal Alert, May 7, 2020
- Author, Update No. 6: Financial Regulators, SROs Continue Providing COVID-19-Related Relief, McGuireWoods Legal Alert, April 28, 2020
- Author, Update No. 5: Financial Regulators, SROs Continue Providing COVID-19-Related Relief, McGuireWoods Legal Alert, April 21, 2020
- Author, Update No. 4: Financial Regulators Continue Issuing COVID-19-Related Relief, McGuireWoods Legal Alert, April 15, 2020
- Author, Financial Services Regulators and SROs Continue to React to COVID-19 Developments, McGuireWoods Legal Alert, April 6, 2020
- Author, Beware What You Share: Privilege Waiver Risks in Investigations, Subject to Inquiry, January 18, 2018