David concentrates his practice in the area of securities law, representing broker-dealers, investment advisers, and financial service providers in numerous aspects of federal, state and FINRA regulatory compliance and defense. David has defended multiple broker-dealers and their agents in FINRA arbitrations involving millions of dollars in potential liability, and has represented financial services professionals in federal, state and self-regulatory organization investigations and enforcement actions. David also advises banks and emerging growth companies on a number of legal issues ranging from capital formation to regulatory hearings.
David received his B.A. cum laude from Washington & Lee University, was licensed as a Series 7 and 63 registered representative of a large broker-dealer firm, and earned his J.D. from the University of South Carolina School of Law. Prior to joining the firm, David served as Deputy Attorney General and Deputy Securities Commissioner for the State of South Carolina from 1997-2000, where he advised the South Carolina Attorney General on federal and state securities law issues, statutes, regulations, and policies; proposed and drafted state legislation, regulations, and policies, and was responsible for directing and managing all legal, investigative, enforcement, and regulatory activities of the South Carolina Securities Commission. David was previously a partner with K&L Gates LLP.
Awards & Recognitions
- NASAA Outstanding Service Award, 2001
Professional & Community Activities
- North Carolina State Bar
- South Carolina State Bar
- ABA Business Law Section, Committee on State Regulation of Securities, Liaison to the North Carolina Securities Division, 2004-Present
- North Carolina Securities Industry Association, Board of Directors, 2005
- Leadership Raleigh, Class of 2003
- Investor Protection Trust, Board of Trustees, 1999-2000, 2000-2001
- National Society of Compliance Professionals, Member 2001-2006
- North American Securities Administrators Association (NASAA), Member 1997-2000, Board of Directors 1999-2000, 2000-2001