Jeff is an accomplished lawyer and securities industry professional with over 25 years of experience as a senior financial services regulator and as the general counsel of a bank-affiliated broker-dealer and adviser. This combination of industry and regulatory perspective provides clients with a practical and highly effective approach to resolving problems.
Jeff served for eight years as Chief Legal Officer for the retail broker-dealer and registered investment adviser business at PNC Bank. Jeff advised on the full range of legal and compliance issues, represented the firm and its financial advisors in regulatory exams and investigations, advised the Board and executive management on governance, compensation and risk management matters, and partnered with the business on customer service, complaint resolution, broker and supervisor training, and employee relations issues.
Before joining PNC, Jeff was privileged to have served for ten years in several senior policy and management positions at NASD (now FINRA), including Director of Disciplinary Policy in the Office of the President; Vice President in the Department of Member Regulation; and Senior Vice President and Acting General Counsel.
Jeff’s practice focuses on representing financial institutions and professionals in regulatory, compliance, and enforcement matters. He has a broad and deep understanding of product suitability and sales practices; disclosure and regulatory reporting; broker supervision; internal controls; complex products; and new product development, due diligence and oversight. Jeff has particular experience advising clients on sales practice issues, investigations and proceedings, routine and targeted examinations, customer complaints, broker registration and U4/U5 reporting, advertising matters, new and continuing membership applications, and eligibility proceedings (statutory disqualifications).
The George Washington University Law School, J.D., with high honors (1978); Managing Editor, The George Washington Law Review. Union College, B.A., Summa Cum Laude (1975); Phi Beta Kappa.
District of Columbia
U.S. District Court for the District of Columbia