As a former big-law partner, Jason brings more than 25 years of experience, strategic insight, and a proven track record of success in high-stakes litigation, corporate crises and disputes, government investigations, and enforcement actions.

Jason regularly represents clients before various state and federal regulators including the Securities and Exchange Commission (SEC), Commodity Futures Exchange Commission (CFTC), Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), state securities regulators, and foreign regulatory authorities.

Jason also assists clients in avoiding litigation by performing internal investigations on behalf of boards of directors, audit committees, and special committees in response to internally identified concerns and regulatory inquiries, liaising with government agencies, and helping to develop and implement effective compliance programs.

Jason represents clients across a wide range of industries with a particular emphasis on financial services (including registered investment advisers, broker-dealers, private equity, hedge funds, banks, asset managers, trustees, custodians, and precious metals dealers), healthcare, technology, consumer products, and software. Whether advising multi-national corporations, privately-held companies, executives, or individuals, Jason tailors his legal strategies to meet the unique demands of each client. His experience includes:

• Complex commercial litigation involving contract disputes, business torts, and multi-jurisdictional/cross-border claims.

• Conducting internal investigations of domestic and multi-national companies on behalf of boards of directors, audit committees, and special committees in response to internally identified concerns and regulatory inquiries.

• Shareholder derivative actions and corporate governance disputes.

• Class action defense, with a particular focus on securities and consumer protection.

• Federal and state regulatory inquiries and investigations (including cross-border investigations and navigation of foreign and domestic legal and regulatory requirements) and enforcement proceedings involving the SEC; CFTC, DOJ, state securities regulators, and foreign regulatory authorities.

• False Claims Act matters, including government investigations and whistleblower actions involving allegations of fraud in healthcare and financial services.

• Arbitration and mediation including the Financial Industry Regulatory Authority (FINRA), and American Arbitration Association (AAA).

Jason regularly counsels clients on compliance and risk management issues (both within, and outside, the context of litigation) to help them identify, assess and mitigate legal, regulatory, and operational risks. This includes:

• Regulatory enforcement trends

• Corporate governance and ethics oversight

• Development and implementation of compliance programs

• Response to regulatory inquiries and audits

• Disclosure issues (adequacy/transparency)

• Global Risk Assessments

• Anti-Bribery and Corruption (ABC)

• Anti-Money Laundering (AML)

• Know-Your-Customer (KYC)

• Voluntary Remediation

Recent Representative Experience:

• Successful resolution of SEC investigation involving registered investment advisor (RIA) and its affiliated broker-dealer alleging breach of fiduciary duty, failure to disclose certain conflicts of interest, and failure to seek best execution.

• Advised registered investment advisers, broker-dealers (and dual registrants) concerning enhancements and revisions to regulatory and compliance programs, policies and procedures, disclosures in Form ADV, and public filings.

• Successful resolution of SEC investigation involving broker-dealer and alleged violations of SEC Regulation Best Interest (Reg BI).

• Represented precious metals dealer involving investigation by the CFTC.

• Advised precious metals dealer regarding updates to internal policies and procedures including AML and KYC compliance.

• Represented individual victimized by large-scale and coordinated global fraudulent scheme orchestrated by foreign nationals (and their agents).

• Successful resolution of cross-border parallel investigations by SEC and DOJ involving global technology company and global subsidiaries involving potential customs violations and documentation of sales.

• Advised global technology solutions company concerning enhancements and revisions to internal policies and procedures, internal controls, and regulatory compliance programs following global risk assessment.

• Successful resolution of internal investigation involving healthcare provider and allegations of fraudulent billing.

Education:

• Suffolk University Law School, J.D.

• Brandeis University, B.A.

Bar Admissions:

• Massachusetts

• U.S. District Court, District of Massachusetts

• New York

• U.S. District Court, Southern District of New York