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 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 most recently a partner with K&L Gates LLP.