Practice
Business
Jurisdictions
Florida, Illinois
Law firm
Compliance to ComplianceYears of experience
8
Industries served
Financial markets and services, Real Property, Banking
Graduated from
Ave Maria School of Law, 2014
Practice areas
Company formation, Securities offerings and IPO, Partnership or joint venture
Experience
Samantha has focused her career on developing and implementing customized compliance programs for SEC, CFTC, and FINRA regulated organizations. She has worked with over 100 investment advisers, alternative asset managers (private equity funds, hedge funds, real estate funds, venture capital funds, etc.), and broker-dealers, with assets under management ranging from several hundred million to several billion dollars. Samantha has held roles such as Chief Compliance Officer and Interim Chief Compliance Officer for SEC-registered investment advisory firms, “Of Counsel” for law firms, and has worked for various securities compliance consulting firms.