I'm a leading corporate, securities, securities enforcement defense and compliance attorney. I represent broker-dealers, investment advisors, securities exchanges, hedge funds, public and private companies and other financial market participants regarding diverse transactional and regulatory ...more

I'm a leading corporate, securities, securities enforcement defense and compliance attorney. I represent broker-dealers, investment advisors, securities exchanges, hedge funds, public and private companies and other financial market participants regarding diverse transactional and regulatory matters. My practice combines regulatory, transactional and litigation components to provide integrated corporate finance and securities regulatory services to clients. Specialties: I concentrate my practice in enforcement defense, Chinese-U.S. cross border transactions, corporate listings on U.S. registered national securities exchanges, and broker-dealer and investment advisory regulation and compliance.less