Len advises clients on securities compliance, regulation and market structure matters, and broker-dealers and counsels financial institutions on a wide array of legal, compliance, and regulatory matters. He counsels market participants on regulatory requirements and controls, examinations, investigations, enforcement, litigation, and disciplinary proceedings with a particular focus on trading-related matters. He also advises those entities with respect to corporate governance. Len has extensive experience with multiple asset classes and U.S. and foreign regulators.
Len has over 30 years of financial industry experience, specifically in the legal, compliance, operational, and regulatory policy arenas. From 1989-99, he served as chief counsel and, later, deputy director of the New York office of the Financial Industry Regulatory Authority (FINRA). Subsequently, he spent more than 14 years at Knight Capital Group, Inc., initially as the chief compliance officer of its broker-dealer, Knight Securities, LP, and subsequently as the general counsel for the parent company. There, he managed the legal, compliance, AML, internal audit, regulatory affairs, and government relations programs for the firm on a global basis.
A frequent speaker at industry conferences, Len has also served on numerous industry committees.
U.S. and foreign regulators
Admitted to Practice
New Jersey, 1989
New York, 1990
U.S. Supreme Court
J.D., Hofstra University School of Law, 1989
B.B.A., Hofstra University, 1986