Michael advises clients in the areas of investment advisory and regulatory enforcement defense. To his practice, he brings experience as a senior compliance analyst at a Securities and Exchange Commission-registered investment adviser with approximately $80 billion in assets under management, as well as in-house experience at a dually registered broker-dealer.
For that investment advisor, Michael drafted prospectuses and fund documents for the firm's mutual funds and UCITS funds. He was also responsible for managing the 40 Act compliance program, which included drafting Form ADV, managing and monitoring the code of ethics, reviewing and implementing client guidelines and restrictions, as well as responding to requests from clients and regulators.
Practice Highlights
Broker-dealer compliance
Michael previously served as compliance manager and counsel at a dually registered broker-dealer, where he managed the broker-dealer and investment adviser compliance programs for the firm and its subsidiaries. He also drafted policies and procedures and compliance reports for the board of directors.
SEC and industry group exposure
Michael worked as regulatory affairs counsel at the Financial Services Institute. He has also completed internships with the Investment Adviser Association and the SEC's Divisions of Enforcement and Trading and Markets.
FINRA Series 7
Michael has held a FINRA Series 7 license.
Admitted to Practice
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District of Columbia, 2017
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Maryland, 2016
Education
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J.D., The Catholic University of America, Columbus School of Law, 2016
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B.S., Business/Managerial Economics, Grove City College, 2013
Background
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- Associate, McGonigle P.C., 2021-2022
- Senior Compliance Analyst, Sands Capital Management, 2020-2021
- Compliance Manager and Counsel, Folio Investing, 2017-2019
- Regulatory Counsel, Financial Services Institute, 2016-2017