About the Founder

Michael served as an Attorney in the SEC’s Division of Examinations, where he led examinations and risk reviews for the Broker-Dealer/Exchange Group (BDX), and the Exchange, SIPC, and PCAOB team (ESP).

• Conducted examinations of broker‑dealers (domestic and foreign), national securities exchanges, municipal advisers, transfer agents, FINRA, and other market participants for compliance with federal securities laws and SEC rules; drafted deficiency letters, enforcement referrals, and regulatory requests.
• Performed on‑site visits to stock exchanges and broker‑dealer trading floors to assess trading activity, market‑making practices, and regulatory controls.
• Led fact‑finding missions into anomalous market events and conducted reviews of new exchange-traded products; contributed to reports reviewed by SEC Commissioners to inform policy and rulemaking.
• Coordinated with FINRA and SEC Divisions of Trading & Markets and Enforcement on joint reviews, risk assessments, and policy initiatives.
• Served as primary point of contact for stock exchange options listing disputes and for tips, complaints, and referrals (TCRs) relating to registered securities exchanges.
• Evaluated enterprise risk‑management and governance structures of registrants.

Regulatory focus areas: Exchange Act Rule 15a‑6 (foreign broker chaperoning), Rule 19b‑4 and Exchange Act §§6 and 19, Reg NMS and CAT compliance, AML requirements, MSRB rules, and emerging topics including digital asset products and AI adoption.

Michael spent nearly a decade at FINRA, working across enforcement, market surveillance, and investigative functions to detect, investigate, and prosecute violations of securities laws and FINRA rules.

As a Senior Attorney in FINRA’s Department of Enforcement, Michael investigated and prosecuted complex cases involving systemic supervisory failures, fraud, and market manipulation.

• Served as lead attorney on multiple “Tier‑3” matters involving systemic supervisory failures by broker‑dealers, several of which also included charges against Chief Compliance Officers.
• Conducted on‑the‑record testimony (OTRs) of registered representatives and interviews of firm customers and witnesses.
• Negotiated multiple settlements for fines in excess of $1 million against broker-dealers for systemic supervisory failures.
• Led numerous enforcement actions against registered representatives and associated persons that resulted in lifetime bars from the securities industry.
• Drafted key litigation documents, including Sufficiency‑of‑Evidence and Sanctions memoranda, settlement agreements (AWCs), and letters of caution.

Earlier in his tenure at FINRA, Michael conducted market surveillance investigations into insider trading, market manipulation, and other potentially violative conduct across equities, options, and bonds.

• Analyzed complex trading patterns using sophisticated cross-market surveillance technology; analysis methods included trading pattern reconstruction, surveillance alert reviews, and correlation analysis.
• Conducted on-the-record testimony (OTRs); interviewed senior executives of publicly traded companies and registered representatives.
• Prepared investigative reports and referrals to the SEC and other regulators.

Michael worked in private practice at a prominent law firm advising broker‑dealers and public companies on capital market transactions, enforcement defense, and securities law compliance.

• Drafted and reviewed Form S‑1 registration statements and advised issuers through the Nasdaq IPO process.
• Represented broker‑dealers and public companies in preparing responses to SEC and FINRA Wells notices and investigative inquiries.
• Drafted and filed Exchange Act (’34 Act) disclosures for publicly traded companies.

• Admitted to practice law in the Commonwealth of Virginia
• The George Washington University Law School, JD
• The Citadel, The Military College of South Carolina, BA