- Corporate, Finance and Capital Markets
- SUNY Buffalo Law School
- Of Counsel
- Email: email@example.com
- Phone: 973.610.2010
- Fax: 610.371.7759
Jim represents broker-dealers and investment advisers in connection with regulatory and compliance matters involving SEC, FINRA, national securities exchanges and state securities regulatory authorities. He has extensive experience representing entities in initial set-up and registration as broker-dealers and investment advisers with the SEC and state securities regulatory authorities and membership with FINRA and national securities exchanges. He also represents public corporations in obtaining listing of securities on the NASDAQ stock market. In addition to his responsibilities at Stevens & Lee, Jim is the chief compliance officer at Griffin Financial Group, LLC and Financial S&Lutions, LLC, and holds Series 7 and 24 licenses with FINRA.
Prior to entering private practice, Jim was chief compliance officer, assistant general counsel and corporate secretary for Vie Financial Group, a public company providing electronic trading services to institutional investors and broker-dealers. In this capacity, he handled regulatory compliance issues for three broker-dealer subsidiaries, including the preparation of written policies and procedures, compliance oversight of supervisory personnel and examination preparation. He also was responsible for the preparation and review of public company filings, supervision of the company’s proxy solicitations, interpretation of Delaware GCL for the board of directors and senior management.
Prior to his legal career, Jim spent more than 20 years in the financial markets as a fixed-income specialist, with a particular focus on U.S. Treasury securities. His experience in this area includes positions in institutional sales, trading and portfolio management, while holding officer-level positions with Morgan Stanley & Co., Nomura Securities International, HSBC Securities and Morgan Guaranty Trust Co. of New York (now J.P. Morgan & Company), where he was instrumental in establishing the company’s first offshore U.S. Treasury sales and trading unit in London.
Jim also served as an infantry officer in the U.S. Army.
- SUNY Buffalo Law School, J.D., cum laude
- Seton Hall University, MBA
- Niagara University, B.S.
- New Jersey