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Tradecraft: Compliance Training for the Real World

ABOUT ME

  • Currently, a recognized consultant, blogger, and speaker in the field of insider trading compliance and ethics, reflecting on critical real world issues which impact hedge fund and broker dealer principals, traders and compliance personnel.

  • CEO, Tradecraft Advisers: RealWorld Compliance LLC: A Consultancy dedicated to assisting organizations with fraud, ethics and insider trading compliance challenges as they impact on the ground principals, money managers and compliance personnel.

  • Entrepreneur and Investor

  • Former Lawyer, Chartered Financial Analyst, and Holder of Series 7, 63 and 55 Licenses

  • Documentary Producer and writer

  • Featured as one of the stories in the CNBC Documentary, alongside Dennis Kozlowski, Joe Nacchio and Bernard Kerik

  • Associate at Sullivan & Cromwell in the Mergers & Acquisitions practice

  • Top ranked Portfolio Manager at several hedge funds and proprietary trading firms. Consistently delivered market beating alpha with an abnormally low Sharpe ratio.

  • Founder and President of the multi-strat hedge fund Incremental Capital. At its peak, Incremental managed over $250M in assets and 50 employees with outstanding risk adjusted returns.

  • Lafayette College, Bachelor of Arts, 1993. Law Review at the University of Southern California Law School, 1996.

  • Turned down a plea offer to one count of conspiracy and a sentence of probation.