Drawing on Todd's experience as in-house counsel for a major wirehouse with a private client channel, a bank channel, an independent channel, and an affiliated registered investment advisor, our firm understands the nature of our clients’ businesses, how our clients operate, and the complex regulatory environment in which they operate. Understanding our clients’ business goals and objectives allows us to quickly identify—and implement—effective solutions to the obstacles and challenges they face.
Since 1998, Todd has personally handled more than 600 matters involving the securities industry. He has appeared before the SEC, FINRA (formerly NASD), and the Virginia State Corporation Commission in regulatory matters, and handled arbitrations administered by FINRA/NASD, the New York Stock Exchange, the Pacific Stock Exchange, the American Arbitration Association, and JAMS. He has appeared in arbitrations throughout the United States, including Virginia, North Carolina, South Carolina, Maryland, the District of Columbia, West Virginia, Delaware, Pennsylvania, New York, New Jersey, Connecticut, Massachusetts, New Hampshire, Georgia, Florida, Alabama, Louisiana, Kentucky, Tennessee, Illinois, Ohio, Michigan, Wisconsin, Missouri, Kansas, Nebraska, Texas, Arizona, Colorado, Utah, Montana, Washington, and California.