Jimmy advises financial services clients on regulatory and government investigations and compliance programs, as well as on a broad variety of white-collar litigation and other government investigation matters. He has advised numerous broker-dealers in responding to regulatory inquiries in a multitude of settings, including FINRA examination cycles and SEC, FINRA, exchange, and state securities regulator investigations. These inquiries have concerned a range of issues across institutional and retail services, including market access controls, anticipatory hedging, non-financial regulatory reporting, books and records, and customer communications. He has also assisted financial services clients with internal investigations and the design and implementation of regulatory compliance controls.
Jimmy also advises clients in a variety of white-collar litigation and government investigation matters. For instance, he recently assisted a Fortune 100 company in responding to multiple federal grand jury subpoenas while facing simultaneous multi-state civil litigation. He also advised a professional services firm in complex civil litigation with hundreds of millions of dollars in claimed damages. He has also assisted numerous companies across the healthcare, aerospace, and services sectors in responding to DOJ investigations and implementing compliance programs.
Prior to joining McGuireWoods, Jimmy attended The George Washington University Law School, where he was a member of The George Washington International Law Review and received the CourtCall Law School Award for the Best Moot Court Student in the George Washington Law School Class of 2020. Prior to attending law school, Jimmy worked as a pianist and music teacher in the Hampton Roads region of Virginia.
Experience
- Advised multiple Wall Street firms’ institutional and retail broker-dealer businesses in responding to regulatory inquiries in a variety of postures ranging from cyclic examinations to enforcement actions and concerning the SEC, FINRA, exchanges, and/or state securities regulators.
- Advised Fortune 100 healthcare company in responding to multiple grand jury subpoenas while facing simultaneous multi-state civil litigation, coordinating with client’s civil and discovery counsel to make privilege and clawback determinations.
- Advised professional services company defending complex fraud litigation with hundreds of millions of dollars in claimed damages in connection with expert witness preparation. .
- Assisted healthcare and services companies in responding to DOJ investigative demands.
- Assisted Fortune 500 aerospace company in implementing compliance regime pursuant to DOJ agreement.
- District of Columbia
- Virginia
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The George Washington University Law SchoolJD
with Honors, Member, George Washington International Law Review
2020 -
The University of North Carolina at GreensboroBMMusic Performance
magna cum laude
2011
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