Selected experience
Complex markets,
made legible.
Experience across the legal, commercial, and operational questions that shape regulated financial products, market infrastructure, and interactive technology.
Representative experience is described at a high level and without identifying clients, counterparties, transactions, or confidential details. It is provided for general information, does not imply client endorsement or particular outcomes, and is subject to applicable professional obligations.
01
Prediction markets & event contracts
Drafted core exhibits for a dual CFTC DCM/DCO application for a prediction-markets venue, prepared Introducing Broker and Commodity Trading Advisor registrations and applications, and advised event-contract operators where CFTC jurisdiction meets state gaming law.
- Introducing Broker and Commodity Trading Advisor registrations and NFA applications
- Governance and compliance charters; Core Principles mappings
- Rulebooks, participation agreements, and market-surveillance programs
- Conflicts-of-interest and disciplinary frameworks supporting self-regulatory functions
02
Equity derivatives & structured products
Structuring, negotiating, and documenting equity derivatives and other OTC derivatives for financial institutions, hedge funds, asset managers, and corporate clients.
- Equity swaps, total return swaps, structured notes, and equity-linked products
- ISDA Master Agreements, Schedules, CSAs, and confirmations; repo and securities lending
- Close-out, novation, and termination of portfolios in financings, M&A, and credit events
03
Derivatives regulation & market structure
Advising commodities firms, trading firms, and market-infrastructure participants on Dodd-Frank Title VII, CFTC and SEC swap rules, and the line between securities and commodities.
- Trading, clearing, and reporting workflows aligned with DCM/SEF rules
- Trading, margining, liquidation, and surveillance controls reviewed against CEA/CFTC standards
- Cross-border reverse-solicitation analyses, exemption memos, and regulatory-inquiry playbooks
04
Gaming licensing & payments
Managed licensed-gaming applications for payment processors across every U.S. state and territory, and stress-tested the opinions processors rely on to serve gaming and prediction-market operators.
- Processor-reliance opinions for state-licensed gaming merchants and federal prediction-market operators
- Permissible payments, geofencing, age/KYC, UDAAP/AML, and CEA/SEC analysis
- Reliance letters, closing deliverables, and ongoing monitoring conditions
05
FinTech, money transmission & lending
Building licensing programs for payments and lending fintechs based on how money actually moves through the product.
- MSB/MTL programs with state-by-state decision trees and phased rollouts
- Multistate lending matrices covering usury, rate and fee caps, disclosures, and servicing
- Auditable compliance roadmaps that speed licensure and ongoing monitoring
06
Digital assets & market infrastructure
Advising digital-asset issuers, exchanges, and institutional platforms on classification, market structure, and compliance across U.S. securities, commodities, AML, and sanctions rules.
- Token-classification and sanctions-exposure memoranda
- Clearing-agency and exemption strategies; token-listing governance; tokenization legal mapping
- Exchange compliance programs: surveillance, custody and staking governance, disclosures
07
Institutional crypto finance
Structuring crypto-backed lending and prime-services products for institutional markets.
- Multistate licensing and exemption analyses
- Institutional credit documentation, collateral mechanics, and custody arrangements
- U.S. nexus and offering-restriction analyses with geo-controls for international platforms
08
Venture financings & transactions
Supporting venture and growth-equity financings and strategic transactions for fintech companies, with diligence focused on regulatory risk.
- Stock and asset purchase agreements, subscription agreements, and side letters
- Payments, lending, privacy, and regulatory diligence memoranda
- Capitalization, governance rights, and third-party and API integration risk
09
Bank supervision & examination
As an Associate National Bank Examiner at the Office of the Comptroller of the Currency, conducted complex examinations of national banks.
- Risk-model and investment-portfolio review
- Credit-exposure and concentration analysis
- Regulatory-compliance findings and supervisory follow-up
10
Bank compliance & product
As Vice President, Equity Aggregation Regulatory Compliance Risk at Bank of America, and as a Product Manager at Fulton Bank, worked where regulation meets bank products and operations.
- Global monitoring of equity-market regulatory developments
- Regulatory inventories and implementation across compliance, legal, and technology
- Product development, vendor oversight, contract review, and cryptocurrency policy
Operating perspective
Legal analysis is only useful when it can guide an actual decision.
Across these areas, the work begins by identifying the relevant regulatory perimeter and ends by translating it into practical controls, documentation, product choices, and implementation priorities.