1. How do you define your practice and areas of experience:
I have over 20 years of considerable experience in Securities Regulation, advising Registered Investment Advisers and Broker-Dealers regarding their legal, regulatory and compliance issues. It’s given me a deep understanding of the federal securities laws. So, I provide Registered Investment Advisers and Broker-Dealers comprehensive and diverse services relating to all aspects of the federal securities laws, FINRA rules, and BSA/AML regulations. Additionally, I provide outsourced CCO services to Registered Investment Advisers and Broker-Dealers.
2. Tell us about your legal career journey. How did you get here?
I went to law school after working for eight years after college. My first job was as a Multi-Unit General Manager for Taco Bell. I was there when Taco Bell tried out a “healthy” menu. It went over as well as when they took Mexican Pizza off the menu. After Taco Bell, I worked at the University of Miami as a financial analyst and entered their MBA program. In my law class, the professor asked us to conduct legal research and draft a legal memo. I really enjoyed it, so it made me consider law school.
3. Now, we have to know: what’s your go-to when the Taco Bell rings?
Mexican pizza.
4. What is your professional secret sauce, the secret of your success?
I treat my clients the way I would want to be treated. That means I come prepared and provide valuable services. You don’t always know if clients grasp the full scope of what goes into representing them or if colleagues notice your efforts. So, it was really gratifying to be honored as a Best Lawyer this year because the award is based on peer reviews.
5. What is one thing you wish people about to hire a lawyer with your expertise knew?
I wish they’d ensure that the attorney is knowledgeable of the federal securities laws and FINRA rules. Moreover, as a former Enforcement Attorney with FINRA, I believe that it’s important that your attorney is not only knowledgeable and experienced with the federal securities laws and FINRA rules but also understands how the SEC and FINRA function.
6. What would you do if you weren’t an attorney?
I would be in the family business. My family has Cuban restaurants in New Jersey.
7. Tacos or pizza?
Pizza.
8. But Taco Bell! How?
I was raised in New Jersey, so I really enjoy a good pizza.
