Mark brings a unique regulatory perspective to Atrium Fintech & Blockchain, having worked at FINRA, BigLaw, and as a financial services lobbyist. Specifically, Mark advises emerging growth companies on issues surrounding broker-dealer registration, money transmitters licensing, and investment adviser registration.
Mark started his legal career at FINRA where he worked on a number of highly publicized enforcement actions. Next, Mark worked at K&L Gates in Washington D.C. representing financial services companies before the CFTC, SEC, and Congress. After leaving BigLaw, Mark led legal and compliance at a FinTech startup in San Francisco.
Mark received an LL.M. in Securities and Financial Regulation from Georgetown University Law Center and J.D. from Loyola University Chicago School of Law. While completing his LL.M., Mark interned at the SEC and assisted teaching a class on Title VII of the Dodd-Frank Act to SEC Staff. Before and during law school Mark worked at the Trading Technologies International and the Chicago Stock Exchange.
Licensed to practice law in Illinois. Practicing under the supervision of a California-licensed attorney.
“I want to help innovative founders navigate applicable regulations to disrupt the existing financial services ecosystem.”