David has more than 17 years of experience working for and representing clients in the public and private sectors, with a particular emphasis in the financial services sector.  He routinely counsels clients on regulatory compliance and risk management issues in addition to litigation, arbitration, enforcement proceedings and investigations.  He has represented a variety of institutions in the securities and commodities futures markets, including broker-dealers, clearing firms, hedge funds, commodity pools, public companies and their committees, directors, officers and other senior managers. 

David was previously a Staff Attorney in the Division of Enforcement of the U.S. Securities & Exchange Commission in New York. He also worked for Regional Counsel of the National Association of Securities Dealers Regulation – Enforcement Division (now FINRA) in the Chicago and New Orleans offices.