Marc is a former FINRA attorney and serves as outsourced General Counsel.
Marc is a securities industry corporate counsel and regulatory compliance consultant with 25+ years of in-house and outside General Counsel experience at small and mid-size independent financial services firms. He has worked with multinational life insurance and annuity corporations, broker-dealers, registered investment advisers, and Mutual Fund complexes.
Marc proactively helps My RIA Lawyer clients reduce legal, financial and reputational risk by tailoring collaborative business solutions for clients through managing, rather than eliminating, risk through successful early dispute resolution efforts and, when need be, directly defending litigated claims or coordinating with outside counsel on matters requiring highly specialized experience.
Marc provides pragmatic, objective advice on compliance risk management issues, including all types of regulatory affairs (e.g., responding to regulatory inquiries and examinations, and defending investigations / enforcement matters) for SEC and state-registered investment advisers, broker-dealers and their owners, licensed principals, and other registered personnel.
Marc began his legal career in 1990 as a law firm Associate in New York City as a commercial litigator and bankruptcy attorney. After entering the securities industry by way of his position as a Staff Attorney for the NASD (n/k/a FINRA) Office of Dispute Resolution for several years starting in 1997, Marc continued his career as in-house counsel for several securities brokerage firms in south Florida from 2000 – 2005 before moving to the Tampa Bay area in 2005 to accept a position as Assistant General Counsel in the Corporate Law department of AEGON USA (whose affiliated companies include Transamerica Financial Advisors, Diversified Investment Advisors, and other BDs, RIAs, life and annuity insurance companies and mutual fund complexes). In 2010, Marc accepted a position as Independent General Counsel for a dually-registered BD / RIA with over 175 independent-model registered representatives and after the firm ceased operations in mid-2012, personally managed the winding down of its legal and regulatory liabilities. Starting in late 2012 and continuing into early 2019, Marc served as Outside General Counsel for Independent Financial Partners, which at that time was one of LPL Financial’s largest independent RIA / BD OSJ “Hybrids” with over 500 independent contractor financial advisors, working closely with the firm’s owners and senior management team while embedded in the firm’s corporate office in Tampa.
Marc currently resides in Tampa, Florida with his wife and sons. Marc is licensed in Florida, New Jersey and New York and serves My RIA Lawyer clients nationwide.