Expertise
Equities
Fixed Income
stocks
bonds
ETFs
Options
puts
calls
Swaps
Complex Derivatives
Autocallables
Structured Notes
Structured Products
VIX
worst of
Hedge Funds
Private Equity
Private Investments
Loans
Reg D Offerings
144A Private Placements
Reg S
Commodities
FX/currencies
Microcaps
Penny Stocks
Crypto
IRA/401k
Sales
Trading
Marketing
Research
Supervision
Market-Making
Short-Sales
Speculation
Hedging
Leverage
Margin
RIA ’40 Act
Investment/Commercial/Retail Banking
Compliance
Surveillance
Prime Brokerage
Clearing
Custody
KYC
AML
Anti-Financial Crime
Anti-Bribery & Corruption (ABC)
Sanctions
Financial Fraud Prevention
Churning
Ponzi Schemes
Market Manipulation
Misselling
Complaints
Insider Trading
Spoofing
Layering
Off-Channel Communications
Front-Running
Suitability
Reg BI
WSPs
Disclosures
FINRA
SEC
CFTC
NFA
FRB
OCC
Churning
Ponzi
manipulation
Spoofing
Layering
securities violations
Swing Trading, Momentum Trading
Wrongful termination
U4/U5 filing
(For search purposes, not intended to be a comprehensive list)
Expertise
Equities
Fixed Income
stocks
bonds
ETFs
Options
puts
calls
Swaps
Complex Derivatives
Autocallables
Structured Notes
Structured Products
VIX
worst of
Hedge Funds
Private Equity
Private Investments
Loans
Reg D Offerings
144A Private Placements
Reg S
Commodities
FX/currencies
Microcaps
Penny Stocks
Crypto
IRA/401k
Sales
Trading
Marketing
Research
Supervision
Market-Making
Short-Sales
Speculation
Hedging
Leverage
Margin
RIA ’40 Act
Investment/Commercial/Retail Banking
Compliance
Surveillance
Prime Brokerage
Clearing
Custody
KYC
AML
Anti-Financial Crime
Anti-Bribery & Corruption (ABC)
Sanctions
Financial Fraud Prevention
Churning
Ponzi Schemes
Market Manipulation
Misselling
Complaints
Insider Trading
Spoofing
Layering
Off-Channel Communications
Front-Running
Suitability
Reg BI
WSPs
Disclosures
FINRA
SEC
CFTC
NFA
FRB
OCC
Churning
Ponzi
manipulation
Spoofing
Layering
securities violations
Swing Trading, Momentum Trading
Wrongful termination
U4/U5 filing
(For search purposes, not intended to be a comprehensive list)
Mike is a seasoned financial compliance executive, regulator, and entrepreneur with over 30 years of experience leading global financial institutions, including Goldman Sachs, Lehman Brothers, and BNP Paribas. He has served as Chief Compliance Officer (CCO) for three broker-dealers, two Futures Commission Merchants (FCMs), the New York bank branch of BNP Paribas, and as Global Head of Financial Markets Compliance in Paris and London for four years. Mike’s comprehensive expertise spans compliance, risk management, and overseeing regulatory functions across multiple jurisdictions, product areas, and high-profile regulatory investigations. He now specializes in securities litigation support, arbitration disputes, expert testimony, and expert reports for issues such as suitability claims, failure to disclose risks, regulatory compliance violations, market misconduct, and improper supervision.
He has appeared before FINRA, SEC, CFTC, OFAC, and the Department of Justice (DoJ), and is recognized as a leading expert in financial markets compliance and risk control infrastructures for commercial and investment banks. Mike is a former American Stock Exchange regulator, a contributor to Fordham Law's Compliance programs, and a FINRA-approved Arbitrator. His entrepreneurial background, including building and winding down his own hedge fund, brings a unique perspective to his compliance and risk management expertise.
Mike was NASD/FINRA-registered with Series 3, 4, 7, 8, 14, 55, and 63 licenses and is a member of Mensa and the Securities Experts Roundtable.
With vast experience across financial markets, compliance functions, and regulatory enforcement, his pedigree, and ability to translate complex matters into understandable terms make him a sought-after expert.
Curriculum Vitae
SER Associate Member