Chris focuses his practice on complex litigation and arbitration in the securities and commodities industries. His securities and commodities practice involves handling a broad range of customer and industry disputes, as well as regulatory matters. Chris litigates matters in a variety of forums and has acted as both lead counsel and second chair in a number of hearings, including multi-week FINRA arbitrations, NFA arbitrations, and AAA arbitrations. He has represented broker-dealers and registered representatives in dozens of business disputes and cases filed by customers. He understands the legal and business decisions that are made when defending such cases, and helps clients evaluate claims in order to obtain a positive and affordable outcome.
Chris has experience counseling and defending registered representatives who find themselves the targets of regulatory inquiries at all stages of examinations, investigations, and enforcement actions brought by FINRA, the SEC, and the NFA. He has successfully defeated claims brought by FINRA against registered representatives attempting to bar them from the industry, and has succeeded in obtaining reduced sanctions against a registered representative by appealing to the National Adjudicatory Council (NAC). Chris has also filed and litigated many expungement cases where he has successfully obtained many FINRA awards recommending expungement of registered representatives’ CRD records.
(B.A., cum laude, 2007)
(J.D., with high honors, 2010)
Topics Editor, Law Review