Alan serves as Partner-in-Charge of Ulmer’s Chicago office. He focuses his practice exclusively on the representation of brokers, broker-dealers and investment advisors. He defends regulatory investigations and enforcement actions brought by the Financial Industry Regulatory Authority (FINRA), the United States Securities & Exchange Commission (SEC), and state securities commissioners, as well as arbitrations brought by customers and investors. He takes a proactive approach to help clients avoid regulatory scrutiny and customer complaints. Previously, as Director of the National Association of Securities Dealers (NASD) Atlanta District Office, he oversaw nearly 600 member firms and thousands of branch offices. Alan also served as a member of the NASD’s Department of Enforcement, where he had the primary responsibility for prosecuting hundreds of formal disciplinary actions.
Alan is the editor of BDLawCorner.com, a blog intended for broker-dealers which are members of FINRA and the individuals associated with such firms, including legal and compliance professionals and registered representatives, as well as outside legal counsel and securities consultants who provide service to broker-dealers.
(B.A., with high honors, 1980)
(J.D., with honors, 1983)