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Law

1983 J.D., University of Pennsylvania Law School

 

1984-Present Member, New York State Bar Assocation

 

1995-Present Member, American Immigration Lawyers Assocation (AILA)

 

United States Federal District Court, Southern and Eastern Districts of New York
 

 

United States Federal District Court, Southern and Eastern Districts of New York
 

 

Business

1984 M.B.A., Wharton School of Business, Graduate Division

 

CRD# 5850102

 

Financial Industry Regulatory Authority

 

Securities Investor Protection Corporation

 

Primary Capital

 

Importance of SEC Registration

The regulation of “securities” (which includes not only stocks, but also limited partnership direct participation programs such as those offered by regional centers) began in early part of the 20th century as U.S. states began to adopt so-called “blue sky laws"
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