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VISIT
WALL STREET'S LEADING ONLINE COMMUNITY The Financial Industry Regulatory Authority |
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| 2009 | 2008 |
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PRE-FINRA CASES |
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| 2005 | 2007 |
| 2004 | |
| 2006 | |
| 2003 | |
See NASD Membership and Registration Rule 1120 |
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January 30, 2024
Before my second career as a lawyer, I was the third generation of my family in the wine and liquor industry. In 1981, I started law school; and in 1982, I was hired as a law student in Smith Barney, Harris & Upham's Legal Department. After I graduated law school, I was a regulatory lawyer with the American Stock Exchange and then with the NASD (now... Read On
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