Michael draws on his regulatory background to assist clients navigate SEC and FINRA examinations, regulatory reviews, and investigations. Michael understands firsthand how examiners evaluate firm responses, assess credibility, and determine whether matters warrant a formal investigation or a referral to enforcement. Leveraging this experience, Michael assists clients through all stages of the process, including communicating with examination staff, managing document productions, preparing for on-site visits and staff interviews, coordinating internal reviews, and addressing deficiencies identified during examinations. Michael’s goal is to resolve regulatory inquiries favorably while maintaining productive relationships with examination staff.
