Archives:

Craig HughesXXXX

Craig is senior counsel to the firm, and brings over 35 years of legal, regulatory, and securities-industry compliance experience to the position. He has practiced law periodically with Dave Markun, Ed Zusman, and Jeff Compton for many years, beginning when he met Dave at a national insurance defense firm in 1990. Craig’s previous professional experience …read more »

Rick SmithXXXX

Rick Smith is a counsel in our San Francisco office.  His practice focuses on commercial litigation and securities arbitration and litigation representing broker-dealers, registered representatives, registered investment advisers, and other professionals.  He advises and represents clients in regulatory actions by the SEC, FINRA, and state regulators.  Rick also has extensive experience representing institutional investors and …read more »

Elliott RectorXXXX

Elliott Rector is an associate in our San Francisco office.  His practice focuses on commercial litigation and securities arbitration and litigation representing broker-dealers, registered representatives, registered investment advisors, insurance agents, insurance brokers, and other professionals.  He advises and represents clients in regulatory actions by the SEC, FINRA, and state regulators.  Elliott also has experience litigating …read more »

Edward ZusmanXXXX

Ed has over twenty years of experience defending and counseling individuals and institutions in the financial services business.  He represents broker-dealers, registered representatives, registered investment advisors, insurance agents, and insurance brokers in FINRA arbitrations, federal and state court, and before state regulators and the SEC.  His experience representing broker-dealers and brokers ranges from offering guidance …read more »

Kevin EngXXXX

Kevin Eng primarily practices in complex commercial and securities litigation.  He has handled numerous class actions involving unfair competition, securities fraud, privacy rights, employment, and antitrust claims. Kevin has also counseled clients on a variety of subjects, among them intellectual property rights, privacy rights, and partnership dissolution. He also maintains an appellate practice, having litigated …read more »