Eric is an experienced investigator, federal securities laws advisor, civil litigator, and trial attorney who represents clients in connection with Securities and Exchange Commission (SEC), Department of Justice (DOJ), Commodity Futures Trading Commission (CFTC) and Financial Industry Regulatory Authority (FINRA) inquiries or investigations; internal investigations; and a variety of federal securities laws compliance-related matters, including those related to digital assets, insider trading policies and procedures, broker-dealer AML policies and procedures, auditor independence rules, and the marketing rule applicable to investment advisers.
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.
Eric previously worked as a Special Assistant United States Attorney 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.
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