Admitted
1984, District of Columbia
Law School
University of Virginia School of Law, J.D., 1982; Georgetown University Law Center, Masters of Securities Law, 1988
Law School Graduation Year
1988
College
Duke University, B.A., 1979
Biographical
Author: Emerging Alternatives to Mutual Funds: Unit Investment Trusts and Other Fixed Portfolio Investment Vehicles, Duke Law Journal (December 1987); Eligible Foreign Custodians and the Investment Company Act of 1940, The Business Lawyer (August 1991); Custody Rules for Investment Advisers, The Investment Lawyer, Vol. 1, No. 4 (July 1994); Arbitration Under the Advisers Act: Is it Here Already, The Investment Lawyer (July 1994); Arbitration Under the Advisers Act, NSCP Currents (Jan.-Feb., 1995); Truth in Pricing: The Askin Decision, The Investment Lawyer (May/June 1995); When it's Mutual: The SEC Takes a Look at Investment Companies and Advisers, Business Law Today (July/August 1995); The Challenge of Cultural Consolidation: SEC-OCC Joint Fund Examinations Agreement, NSCP Currents (September/October 1995), and Integration and Attribution Issues Affecting Hedge Funds, Review of Securities & Commodities Regulation (December 6, 1995). Adjunct Professor, Georgetown Law Center, 1991—. Attorney, Division of Investment Management, Securities and Exchange Commission, 1982-1985. Special Counsel, Office of Disclosure and Adviser Regulation, 1986-1987. Chief, Office of Disclosure and Adviser Regulation, Division of Investment Management, 1987-1988. Former Chief Counsel, Division of Investment Management, Securities and Exchange Commission, 1988-1994; Associate Director (Chief Counsel), 1992-1994.