Private Practice Experience
- Representing a US broker-dealer against hedge fund plaintiff asserting market manipulation claims based on alleged cross-border spoofing scheme by customers
- Conducted an internal investigation into potential accounting issues on behalf of the Audit Committee of a public video technology company
- Represented one of the largest digital-assets trading platforms in enforcement investigations by the Securities and Exchange Commission into potential registration violations
- Advised digital-assets trading platforms and digital-assets project teams on potential legal and regulatory issues
- Represented digital-assets project teams in investigations by DOJ, SEC and state financial services regulators
- Represented a US bank in FINRA investigation into business referral practices of investment adviser affiliate; FINRA closed matter with no action taken
- Represented a global bank in DOJ, SEC, and IRS investigations into cross-border tax fraud
- Represented a US bank in separate investigations by DOJ, OCC, the Federal Reserve, FDIC, multiple state AGs, and congressional committees into alleged foreclosure and mortgage-servicing deficiencies
- Defended a Fortune 500 company against shareholder securities fraud claims, derivative and books-and-records cases brought against it in state and federal court relating to potential FCPA violations and a rejected merger offer; won five dismissals
Selected Government Experience
- FCPA, internal accounting controls, and books-and-records action related to conduct in India, China, and Kuwait
- Insider trading action with profits in excess of $40 million
- Investigated and led enforcement action charging antifraud violations of the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940
Admissions
Bar Admissions
- New York
Court Admissions
- US Court of Appeals, Second Circuit
- US District Court, Eastern and Southern Districts of New York
Education
- University of Chicago Law School, J.D., with honors; Comment Editor, University of Chicago Law Review
- Princeton University, Princeton School of Public and International Affairs, M.P.A., Domestic Public Policy
- Carleton College, B.A., magna cum laude, Economics and Political Economy
Honors & Awards
- Three-time recipient of Director of Enforcement Division Award, Securities and Exchange Commission
- Paul R. Carey Award, Securities and Exchange Commission
Professional Activities
Clerkships
- Honorable Chester J. Straub, US Court of Appeals, Second Circuit
- Honorable P. Kevin Castel, US District Court, Southern District of New York
Author
- “SEC Motion Response Could Reveal New Crypto Approach,” Law360 (February 10, 2025)
- “Legal Matters in Web 3: A Desk Reference: Centralized Exchanges,” University of Chicago Law School, Center on Law and Finance (September 7, 2024)
- "What the SEC’s Investigation of SolarWinds Means for CISOs and Cybersecurity Disclosures,” CPO Magazine (August 25, 2023)
- “Decentralized Autonomous Organizations (DAOs): Overview,” Thomson Reuters Practical Law (November 29, 2022)
- “Dismantling the SEC’s Federal Court Disgorgement Authority,” New York Law Journal (January 10, 2020)
- “The SEC’s Crypto Moves are at Odds with its Own Mission,” PaymentsSource (July 2019)
- “Is SEC disgorgement endangered? Supreme Court to decide,” Investment News (June 2019)
- “DC Circuit Upends SEC’s Low ‘Willful’ Standard for Securities Violation,” Bloomberg Law (May 2019)
- “Supreme Court Rules That Class Was Not Properly Certified Because Plaintiffs Did Not Establish That Damages Could Be Measures on a Class-wide Basis,” Securities Reform Act Litigation (April 2013)
Speaker
- “In the “Shadow” of Panuwat: SEC Insider Trading Unit Alumni Discuss Compliance Considerations Following Successful Shadow Trading Enforcement Action,” Practising Law Institute (June 11, 2024)
Corporate & Government Experience
- Senior Counsel, Division of Enforcement, Market Abuse Unit, US Securities and Exchange Commission (2015-2019)