Tim is a seasoned and versatile attorney and partner of the firm with more than twenty five years of experience in the securities arena and civil litigation matters. Tim is E&O insurance approved defense counsel and he regularly appears before arbitration tribunals and self-regulatory agencies, including the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”) and the American Arbitration Association (“AAA”), and also, before state and federal courts. Tim has extensive securities industry experience, having handled hundreds of cases throughout the United States and he represents clients from many different parts of the United States and throughout the world. Tim also enjoys lending his legal experience to individuals and companies who are the victims of some type of fraud and is known for strategizing difficult cases and obtaining excellent results.

Tim enjoys representing a variety of broker dealers, super OSJs, individual stockbrokers, investment advisors, RIAs and private equity funds. Tim regularly advises his securities industry clients in all aspects of firm best practices, including Regulation BI, and helping them navigate through the ever-changing compliance and regulatory labyrinths.

Tim advises securities industry clients on all variety of securities issues, including employment agreements, executive compensation packages, asset purchases, succession agreements, SRO cycle exams and audits, firm membership expansion, sale and cessation issues, FINRA and SEC rule interpretation issues, customer complaint and arbitration defense, state and SRO investigations and formal disciplinary proceedings, 8210 requests, OTRs, expungement proceedings, etc.