Doc manages the breadth of Rule 2080 Customer Dispute expungement, U5 language modification, FINRA inquiry/investigation representation, FINRA OTR representation, and other services provided to advisors.
Doc brings expertise representing advisors through formal investigations, inquiries, and OTRs before FINRA. He is well-versed in arbitration proceedings, negotiations with regulatory authorities (FINRA, SEC, and states), and ensuring that brokers’ interests are not set aside by compliance departments or broker-dealers.
- Attorney licensed by the Colorado Supreme Court to practice law (active registration)
- Juris Doctorate from University of Denver Sturm College of Law
- Bachelor of Business Administration from the University of Minnesota
- Master of Business Administration with a major in Finance from the Keller Graduate School of Management
- Former FINRA licenses Series 7, 63, and 55 and former L&H license
Doc and his wife, JaYoung, live in Arvada, Colorado with their two dogs. In his free time, Doc can usually be found exercising, on outdoor adventures with his beautiful wife, or in his garage customizing his muscle car.