Expert Legal Services

Publications & Presentations

  

Securities-related Topics

  • “Fixed Income Cases,” panel presentation at Piaba California Mid-Year program, May 2018 (with David Neumann, Steve Buchwalter, Gregory Tevis and Katrina Boice)

  • “Corporate Internal Investigations (A Primer for Transactional and Litigation Counsel),” MCLE program, Orange County Bar Association, October 2015 (with Mark Peterson, Diane Biagianti and Mimi Justice).

  • Letter to the Editor, The Wall Street Journal, in response to Op-Ed piece by Henry Manne which argued, in effect, that all Insider Trading should be legal; letter published May 6, 2014.

  • “Finra: Fiduciary Standards, Examination and Enforcement Program Priorities,” panel presentation at National Regulatory Services Fall Conference, October 2013 (with David Greene).

  • “Representing Clients in SEC Investigations,” December 2012, Orange County Lawyer magazine, Newport Beach, CA.

  • “(Securities) Seller Beware,” December 2010, North County Lawyer magazine, Vista, CA.

  • “Get Your Money Back! Claims Against Brokers and Financial Advisors: The View from Both Sides,” MCLE presentation, North County Bar Association, Civil Litigation Section, October 2010 (with Brian Miller).

  • “The Future of Arbitration: Finra Initiatives and New SEC Oversight,” panel presentation at National Regulatory Services Fall Conference, October 2010 (with David Sobel).

  • “Mediation Strategies in Professional Line Cases,” panel presentation at Professional Lines Attorney Network, Regional Workshop, February 2010 (with Samuel Edgerton, Chad Weaver and Jami Maciel).

  • “ADR for Investor-Stockbroker Disputes,” two-part article, October and December 2009, North County Lawyer magazine.

  • “The Nuts and Bolts of Customer-Stockbroker Arbitration,” December 2009, Orange County Lawyer magazine.

  • “Guilty Until Proven Innocent: What You Need to Know about Arbitration,” NAIBD Webinar on risk prevention and arbitration strategy for broker-dealers, September 2009 (with Lisa Roth, Chad Weaver, Houston Goddard and Robert Girard).

  • “Nuts and Bolts of Securities Arbitration and Mediation,” MCLE presentation, Orange County Bar Association, ADR Section, February 2009 (with Skip Raring and Terry Ross), and North County Bar Association, ADR Section, April 2009 (with Terry Ross).

  • “Maximizing Mediation,” May 2008, North County Lawyer magazine.


Other Professional Topics

  • “The Care and Feeding of CEOs (and GCs too): Reflections of a Former General Counsel,” July 2014, Orange County Lawyer magazine.

  • “The Care and Feeding of CEOs (and GCs too),” MCLE Seminar, Orange County Bar Association, May 2014.  Conceived, developed and co-moderated program regarding the needs of corporate clients from their outside counsel (with Wayne Gross, co-moderator, and panelists Michael Baroni, Lucy Dunn, Ashley Good and Mark Peterson).

  • “Getting to Successful Collaboration in Government and Political Contexts,” MCLE program by former 5-term Congressman Tom Campbell, former Dean of the Dale E. Fowler School of Law at Chapman University, Orange County Bar Association joint section meeting, October 2012.  Responsible for initial outreach which led to program, necessary steps in development of logistics and promotion; introduction of Dean Campbell.

  • “Building a Successful Solo or Small Firm,” MCLE Annual Program of the Solo Practitioner and Small Firm Section of Orange County Bar Association, September 2012.  Developed and prepared outline for program, moderated panel (with Rosanne Faul, Dimetria Jackson, Neil Pedersen and Douglas Schroeder).