Jeff has represented broker-dealers, investment advisers and individual securities industry professionals for more than 35 years. He has tried well in excess of 100 securities industry related jury trials, bench trials and arbitrations in a variety of venues throughout the United States. Jeff also has extensive experience handling complex regulatory matters involving the SEC, FINRA and state regulatory authorities.
Jeff’s approach is to evaluate customer disputes, industry disputes and regulatory investigations from a business perspective taking into account not only out of pocket costs, but potential collateral consequences, including internal disruption, impact on customers, regulatory fallout, public relations issues and precedential impact. This approach has allowed Jeff to develop long-term client relationships with a number of broker-dealers.