FINRA Attorney Experience

As a Senior Regional Counsel in FINRA’s Department of Enforcement in Dallas, Rob investigated violations of FINRA, SEC, and Municipal Securities Rulemaking Board (MSRB) rules, and the federal securities laws. Rob successfully handled enforcement cases involving high-frequency trading, complex products, inadequate anti-money laundering (AML) compliance programs, due diligence violations, supervision failures, misrepresentations in oil and gas offering materials, unsuitable recommendations, net capital violations, and broker misconduct.

DOJ Attorney Experience

Rob is a former federal prosecutor. As an Assistant U.S. Attorney (AUSA) for the District of Arizona in the Economic Crimes and Public Integrity Unit and as a Special AUSA for the Northern District of Texas, Rob worked closely with various law enforcement agencies, such as the Federal Bureau of Investigation (FBI), Internal Revenue Service (IRS), U.S. Secret Service, and Postal Inspection Service, to prosecute high-profile white collar and public integrity cases. His cases included a 12 defendant mortgage and loan fraud scheme, a “politically sensitive” case of “extreme importance,” and an oil and gas offering fraud scheme that was included in The President’s Financial Fraud Enforcement Task Force. Notably, Rob was selected by the U.S. Attorney for the District of Arizona to participate in DOJ’s nationwide “Election Day Program” to respond to complaints regarding election fraud and voting rights abuses during the November 7, 2006 general elections, and was a member of the Mortgage Fraud Task Force.

National Practice

Rob draws on his knowledge of the inner workings of regulatory and law enforcement organizations and his wide-ranging multi-agency experience when defending regulatory and white-collar investigations and prosecutions; advising corporations, hedge funds, broker-dealers, investment advisers, and other market participants on compliance and regulatory matters; and conducting internal investigations. Rob advises clients on matters involving the SEC, FINRA, DOJ, FBI, Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), Public Company Accounting Oversight Board (PCAOB), Financial Crimes Enforcement Network (FinCEN), Office of Foreign Assets Control (OFAC), and other federal and state regulatory agencies, including the Texas State Securities Board (TSSB). Rob is regarded as a skilled attorney advising companies (public and private), senior executives, boards, directors, and other individuals in securities enforcement and government investigation matters.