Ed has over 25 years of experience practicing securities law, with extensive experience in mediation, arbitration, and regulatory and compliance issues. More specifically, Ed has extensive experience arbitrating disputes involving broker dealers and registered investment advisors.
Following law school, Ed worked in the Financial Industry Regulatory Authority’s (FINRA) Enforcement Division and Arbitration and Mediation Section. Recruited from FINRA by a major investment bank to join its law department, Ed tried dozens of FINRA arbitrations filed by public customers relating to many different products, including options strategies, private placements, and mortgage-backed securities. Ed has also handled “intra-industry” arbitrations involving issues such as raiding claims, promissory note obligations, and restrictive covenants. In addition to his experience with FINRA arbitrations, Ed has tried multiple arbitrations before panels operating under the rules of the American Arbitration Association, JAMS, and international forums. As a result of his years of experience and proficiency in the area of securities arbitrations, Ed has repeatedly been invited to appear on continuing legal education panels focused on this subject. He has also represented registered investment advisors under investigation by the Securities and Exchange Commission and has successfully negotiated settlements resolving those issues.
Fordham University School of Law|Holy Cross College
J.D.|B.A.
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