Eric is an experienced investigator, federal securities laws advisor, civil litigator, and trial attorney who represents clients in inquiries and investigations from the Securities and Exchange Commission (SEC), Department of Justice (DOJ), Commodity Futures Trading Commission (CFTC), State AGs or State Securities Divisions, and Financial Industry Regulatory Authority (FINRA); internal investigations; cybersecurity incident responses; and private securities litigation matters. Further, Eric regularly provides SEC-related disclosure or regulatory advice to a range of clients, including:
Public Companies: Eric advises publicly traded companies on, among other things, disclosure decisions, insider trading policies and procedures, disclosure controls and procedures, incident (e.g., cybersecurity) response plans, and external communications policies and procedures.
Brokers: Eric regularly advises clients on, among other things, complying with broker registration requirements, AML reporting obligations, conflicts of interest disclosures, and due diligence obligations when executing the unregistered sale of securities.
Investment Advisers: Eric advises RIAs on, among other things, complying with the marketing rule, insider trading policies and procedures, preparing for and responding to SEC exams, and the access persons rule.
Crypto Assets: Eric is routinely consulted on securities registration issues related to the issuance of crypto assets, particularly given Eric’s work on a variety of crypto assets matters while working for the SEC, including while serving as trial counsel on a significant SEC crypto asset litigation.
Before joining DLA Piper, Eric served as a senior trial and enforcement attorney with the SEC for 15 years, where he developed a deep understanding of the SEC and the laws it enforces.
At the SEC, Eric coordinated parallel investigations with such agencies as the Federal Bureau of Investigation and worked on matters with the assistance of FINRA. Additionally, he was a member of the SEC's Market Abuse Unit, focusing on matters related to complex insider trading, broker-dealer and hedge fund conduct, and market manipulation.
He also served as a Special Assistant US Attorney in the Securities, Financial and Cyber Fraud Unit at the United States Attorney's Office for the District of Massachusetts, where he conducted federal jury trials in cases concerning conspiracy; securities, mail and wire fraud; witness tampering; false statements; and structuring. He also worked on all aspects of criminal prosecutions, including grand jury investigations and plea negotiations.
Eric is a recipient of the Paul R. Carey Award, a national award conferred by the SEC to recognize individuals with exceptional personal commitment and effectiveness, unquestioned integrity, unlimited enthusiasm, and unwavering dedication to the protection of the individual investor.
