Practice Areas
Corporate, Securities
Practice Description
Corporate, securities, and securities regulation.
Education
- B.A., 1963 Oberlin College (with honors)
- J.D., 1966 University of Michigan Law School
Admissions
- 1966 Pennsylvania
- 1974 New York
- 1974 U.S. District Court, Southern District of New York
- 1977 U.S. Court of Appeals, District of Columbia Circuit
Affiliations
- American Bar Association (Committee on Federal Regulation of Securities and the Committee on Developments in Investment Services)
- New York State Bar Association (Committee on Securities Regulation, Committee on Banking Law, and the Executive Committee of Business Law Section)
Publications Available on this website...
"
Administration Proposes Regulation of Over-The-Counter Derivatives,"
Client Advisory, May 18, 2009; "
SEC Proposes Five Short Sale Price Rules,"
Client Advisory, April 30, 2009; "
SEC Press Release on Proposed Short Sale Price Test,"
Client Advisory, April 9, 2009; "
Madoff Securities Task Force Update: IRS Issues Helpful Guidance,"
Client Advisory, March 18, 2009; "
SEC Proposes Amendments to Rule 15a-6 for Non-U.S. Broker-Dealers,"
Client Advisory, February 2, 2009; "
Madoff Securities Task Force Update: March 4, 2009 Deadline,"
Client Advisory, January 8, 2009; "
Madoff Securities Task Force,"
Client Advisory, December 30, 2008
Additional Publications
“Brokers Must Adapt to New Technologies,”
International Financial Law Review, March 1998; “Trust Preferred Securities: A Banker's Primer,”
The Banking Law Journal, June 1997; “Derivative Usage by Insurers and Reinsurers,”
Mealey's Litigation Reports, Vol. 17, No. 14, November 20, 1996; “Private Placement Offerees: Expanding the Search,”
New York Law Journal, October 31, 1996; “MD&A: When to Include Forward-Looking Statements,”
New York Law Journal, May 16, 1996; “Solving Problems in Financing Inventory Marked or Identified to the Borrower's Customer,”
Commercial Lending Review, Winter 1995-96.
Prior Experience
- 2005-2008 Partner, Katten Muchin Rosenman LLP
- 1997-2005 Partner, Winston & Strawn LLP
- 1967-1972 Special Counsel, Securities and Echange Commission