David has extensive transaction experience representing issuers, broker-dealers and investment funds in financings, capital markets transactions, and mergers and acquisitions. His clients span a variety of industries and his practice includes such matters as general corporate governance, securities regulation, mergers and acquisitions, and financings. He also maintains several securities industry licenses, including the Series 24 (Registered Principal), Series 7 (General Securities), Series 79 (Investment Banking), and Series 99 (Operations), which gives him a unique insight into the challenges facing regulated firms.
David handles both regulatory and transactional work for broker-dealers. His regulatory practice addresses virtually all securities law-related statutory and regulatory requirements applicable to broker-dealers and their affiliates, covering employee issues; sales and trading; development of compliance and supervisory procedures; satisfaction of margin, capital and recordkeeping requirements; the rules of the financial industry self-regulatory organizations; anti-money laundering; and privacy.
Bar & Court Admissions
- New York
- District of Columbia
- LL.M., Boston University School of Law
- J.D., Suffolk University Law School
- A.B., Kenyon College
New York Law Journal, QuotedMay 24, 2019
Sullivan Press ReleaseMay 22, 2019