Publication forthcoming 2023 Publications
Regulation Best Interest and Standards of Care: Where Are We and What Comes Next?
Journal of Financial Compliance
Publication forthcoming May 2023 Publications
Regulation Best Interest in the Context of Current SEC and FINRA Examination and Enforcement Priorities
Review of Securities and Commodities Regulation
2020 Publications
What The Biden-Harris Win Means For Securities Regulation
Law 360
2019 Publications
Securities Regulation
State Attorneys General Powers and Responsibilities, 4th ed.