Steve is one of only two practicing attorneys in the nation who has served as both a Senior Enforcement Officer with the SEC and a federal prosecutor with the Justice Department. His extensive experience with both agencies makes him particularly well qualified to defend companies and their officers against simultaneous investigations by the SEC and the Justice Department.
Steve routinely represents public companies, financial service firms, corporate boards and officers and directors in investigations and prosecutions by government agencies such as the Securities and Exchange Commission, Department of Justice, FINRA and various state authorities.
Most recently, Steve served as an Associate Director of the SEC’s Enforcement Division, leading the SEC’s enforcement efforts in the Southwestern United States. In that capacity, he was one of three Senior Officers overseeing the nationwide operation of Commission’s new Cooperation Initiative, which rewards self-reporting and assistance in enforcement matters. Prior to his selection to head the enforcement program, Steve served as the chief trial attorney in the SEC’s Fort Worth Regional Office and as an assistant chief litigation counsel in the SEC’s home office in Washington, D.C., litigating many significant cases involving: