Bill is a veteran of Wall Street, where he was first employed in 1983 prior to entering private practice in the Legal Department of Smith Barney, Harris Upham & Co.; as a regulatory attorney with the American Stock Exchange and the NASD (the predecessor to FINRA); and as a Legal Counsel to Integrated Resources Asset Management.
As a law firm partner/member, Bill has provided regulatory/compliance counsel, which includes reviewing investigative demands, preparing responsive submissions, representing witnesses during interviews, negotiating settlements, and defending clients during disciplinary hearings and subsequent appeals.
With the increased criminalization of securities industry misconduct, Bill has represented targets, subjects, witnesses, and whistleblowers in federal and state investigations. He has also represented clients during Congressional investigations.
Bill has counseled applicants on initial membership issues and modifications of existing membership agreements. He was counsel to the successful Applicants in the SEC's reversal of the NASD's denial of Restriction Agreement modifications In the Matter of the Application of Domestic Securities (August 13, 1996), a seminal decision in this practice area. Similarly, Bill has counseled public issuers and companies contemplating public listing on listing-related problems.
Bill has represented member firms, registered personnel, and public customers during litigation and arbitration matters. He has served as a Chairperson or panelist on American Arbitration Association and SRO arbitration panels, and has served as a Hearing Officer for the City of New York.
A frequent commentator on radio and television and much cited source in the print media, Bill publishes the RRBDlaw.com and theBrokeAndBroker.com websites. A detailed online biography of Bill is available here.