Joe is chair of the firm’s Securities Litigation & SEC Enforcement Practice. He is a former SEC enforcement attorney and has over 25 years of experience in private practice and government service.
Joe defends clients in white collar government and enforcement investigations by the U.S. Securities and Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), and state securities regulators. His clients include public companies, officers and directors, investment banks, broker-dealers, investment advisers, and securities industry professionals.
An experienced litigator with first-chair trial experience, Joe defends clients in securities fraud cases and complex business disputes. He has tried cases in both state and federal court, including a seven-day jury trial against the SEC. He regularly defends brokerage firms and investment banks in FINRA arbitrations.
Joe’s practice also includes conducting internal investigations for public company boards, audit committees, and special committees. He has led several internal investigations involving NASDAQ public company disclosure, financial reporting, and internal controls issues.
Prior to joining the firm, Joe spent nine years with the SEC’s division of enforcement in the New York Regional Office (2003-2012), where he held several leadership positions, including assistant regional director, branch chief, and senior counsel. Joe oversaw a wide variety of investigations involving public company accounting fraud, insider trading, market manipulation, micro-cap and penny stock fraud, Ponzi schemes, and FCPA bribery violations. He worked closely with other law enforcement agencies, including the U.S. Attorney’s Offices for the SDNY, EDNY and DNJ, the FBI, the CFTC, the NYAG’s Office, and the Manhattan DA’s Office.
Joe earned his undergraduate degree from Georgetown University in 1990 and his law degree from Temple University Beasley School of Law, cum laude, in 1995, where he was an articles editor on the Temple Law Review. Following law school, Joe served a two-year federal clerkship with the Hon. Raymond J. Broderick, U.S. District Court for the Eastern District of Pennsylvania.
Joe has passed the FINRA Series 7 General Securities Exam and is a contributing co-author for PLI’s SEC Compliance and Enforcement Answer Book.