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David is a partner in the financial services litigation and securities law practice groups. He concentrates his practice in the area of securities law, representing broker-dealers, investment advisors, and financial service providers in all aspects of federal and state securities compliance and defense matters. Prior to joining the firm, David was Deputy Attorney General and Deputy Securities Commissioner for the State of South Carolina from 1997-2000.
Representative Matters
Defended broker-dealers in NASD securities arbitrations involving millions of dollars in potential liability.
Advised private investment fund managers and venture capital finders on federal and state regulatory issues arising under the '33 Act, '34 Act, '40 Act, and related rules.
Advised South Carolina Attorney General on federal and state securities law issues, statutes, regulations, and policies; proposed and drafted state legislation, regulations, and policies.
Directed and managed all legal, investigative, enforcement, and regulatory activities of the South Carolina Securities Commission.
Publications, Presentations and Awards
"Stockbrokers may see less arbitration in disputes," co-authored with Amy Williams, Charlotte Business Journal, September 2007
"Dealing with Securities Regulatory Inquiries," presentation to Financial Planning Association, November 2006
"State Regulatory Issues Affecting Broker-Dealers and Investment Advisors," National Regulatory Services Compliance and Risk Management Conference: Charleston, S.C., September 2003
"Broker-Dealer and Investment Adviser Regulation," CLE Presentation, Charlotte, N.C., February 2003
"The Interplay Between Arbitration and Enforcement," NASAA Winter Enforcement Conference, Charleston, S.C., January 2003
NASAA Outstanding Service Award, 2001
"Meet the State Regulators," NASD Regulation Compliance Seminar: Atlanta, Ga., August 1999
"Securities Crime Primer," Securities Fraud and Financial Exploitation Seminar, South Carolina Attorney General's Office, Columbia, S.C., April 1998
Professional, Civic and Community Involvement
Professional: North Carolina Securities Industry Association, Board of Directors, 2005
Investor Protection Trust, Board of Trustees, 1999-2000, 2000-2001
National Society of Compliance Professionals, Member 2001-present
North American Securities Administrators Association (NASAA), Member 1997-2000, Board of Directors 1999-2000, 2000-2001
Civic/Community: Leadership Raleigh, Class of 2003. |
