Michael’s practice focuses on the representation of broker-dealers, investment advisor firms, and registered persons operating in the financial services industry. As a former litigation and regional attorney for the Financial Industry Regulatory Authority (FINRA), Michael provides his clients with a 360-degree view of the complex regulatory landscape and challenges that impact their businesses on a day-to-day basis. He works proactively to help clients avoid, address, and mitigate the impact of regulatory issues, customer complaints, and other costly compliance-related matters. He has significant experience representing clients in examinations, investigations, and disciplinary proceedings brought by FINRA, the SEC, and state securities regulators, including the Florida Office of Financial Regulation. He also has considerable experience representing clients in civil disputes, including countless FINRA arbitrations.
Michael has successfully represented clients in cases involving a wide variety of issues, ranging from alleged sales practice and related supervisory violations (such as claims of fraud, unsuitability, churning, and sales of unregistered securities) to industry specific matters (such as anti-money laundering (AML), Forms U4/5 disclosures, licensing, and registration matters) to expungement and employment matters. He also has successfully handled cases involving a range of investment products, including stocks, bonds, options, mutual funds, ETFs, UITs, private placement offerings, variable and other annuities, and structured products.
(J.D., cum laude, 2000)
(B.A., cum laude, 1997)