Attorney at Law
- Fund Formation
- SEC Documents
- Securities Regulations
- Subscription Agreement
- Term Sheet
- Other Securities & Finance Matter
- Advisory Agreement
- Business Licenses & Industry Regulations
- Corporate Formation
- Operating Agreement
- Shareholder Agreement
- Other Business Formation Matter
- Outside General Counsel
"Lauren is an outstanding securities attorney. She is responsive, thorough and insightful in her advice regarding a wide variety of securities law issues. Her demeanor and personality enable me to develop a trust and confidence in her advice. She is a valued advisor to my international broker-dealer and investment adviser firm"
"“Lauren is an outstanding securities attorney. She is responsive, thorough and insightful in her advice regarding a wide variety of securities law issues. Her demeanor and personality enable me to develop a trust and confidence in her advice. She is a valued advisor to my international broker-dealer and investment adviser firm.”"
FINRA Dispute Resolution Arbitrator
Aug 2016 - Present
As an active industry (non-public) FINRA Arbitrator, I preside over cases and render final and binding decisions after carefully weighing the facts of each case. FINRA operates the largest dispute resolution forum in the securities industry. FINRA Dispute Resolution provides a fair, impartial and efficient system of resolution pertaining to securities and employment disputes.
Capital Legal Group PA
Oct 2015 - Present
Capital Legal Group is a boutique securities law firm, representing both domestic and international clients on their most sophisticated legal challenges in all areas of securities, compliance, transactional, and governance matters. We understand government regulatory and enforcement priorities because we served in SEC and FINRA staff positions enhancing our ability to provide focused advice.
US Securities and Exchange Commission
Jan 2019 - May 2014
• Conducted and led investigations into possible violations of the federal securities laws
• Provided legal and regulatory guidance to examination staff
• Analyzed relevant securities laws, rules and regulations and informed policy
• Coordinated with other divisions and offices within the Commission and other self regulatory organizations
• Drafted, edited and presented recommendations to other d
Jan 2011 - Jan 2013
Conducted member examinations, including managing and delivering formal disciplinary referrals to FINRA’s enforcement department involving money laundering suspicions, selling away, unregistered entities and failure to implement adequate supervisory systems.
• Led high risk level examinations for sales practice and FINOP compliance with applicable rules and regulations
• Identified risks and red f