Greg provides legal, regulatory and compliance counsel to the broker-dealer and investment advisor industry. He guides companies through the Financial Industry Regulatory Authority (“FINRA”) new member application process and through changes or amendments to their existing broker-dealer business models. He also forms SEC and state-registered investment advisors.

Greg has been involved in the formation or ongoing compliance efforts of over 200 financial services industry firms. He assists clients in negotiating clearing agreements, structuring back office operations, and works closely with accountants and other service providers in the industry.  

Greg more specifically provides representation and support in the following areas:

Greg received his J.D. from New York Law School and a B.S. in Political Science from Richard Stockton College, New Jersey. He is admitted to practice in the State of New York.