Denise focuses her practice on the representation of broker-dealers, investment advisors, and registered persons operating in the financial services industry. She provides regulatory compliance counseling and defends clients from regulatory investigations and enforcement actions brought by the Financial Industry Regulatory Authority (FINRA), the U.S. Securities & Exchange Commission (SEC), and state securities, as well as arbitrations brought by customers and investors.
Formerly an investigative analyst at FINRA, Denise used data-driven analytical techniques to detect potential violations of securities laws and regulations. She has first-hand experience in conducting highly complex and technical investigations that monitored for potential fraud and market manipulation. Denise relies on her understanding of how FINRA investigates, analyzes, identifies, and prosecutes potential regulatory violations to help clients avoid costly regulatory scrutiny when possible and confront it effectively if necessary.