REPRESENTATIVE EXPERIENCE
Shanyn’s recent representative experience includes:
- Representing an individual in a successful appeal to the SEC of an NASD disciplinary action.
- Representing various broker-dealers in NASD/FINRA disciplinary actions.
PROFESSIONAL HONORS AND AWARDS
- Recipient, 2011 Highly Commended Award Winner by the Emerald Literati Network for co-authoring “FINRA’s Sanctions in 2009: A Sign of Things to Come?” published in the November 2010 issue of the Journal of Investment Compliance
PROFESSIONAL AND COMMUNITY INVOLVEMENT
- Member, American Bar Association
- Member, Corporation, Financial and Securities Law Section, District of Columbia Bar
- Member, Maryland Bar Association
RECENT PUBLICATIONS AND SPEAKING ENGAGEMENTS
Co-author, “FINRA’s Sanctions in 2009: A Sign of Things to Come?” 11 Journal of Investment Compliance 4 (November 2010)
Co-author, “Annual Review of FINRA Sanctions Finds Disciplinary Slowdown Began to Reverse in 2009,” Wall Street Lawyer, Copyright © 2010 Thomson Reuters (August 2010)
Co-author, “FINRA 2008: An Oscar Winning Year?” Securities Regulation Law Journal (Fall 2009)
Co-author, “Here Comes the Sun[dstrand]: The 'Good Faith' Defense in Securities Fraud Case,” Securities Litigation Report (February 2009)
Co-author, “Still Blinded by Sundstrand: The Applicability of the 'Good Faith' Defense in Securities Fraud Cases,” The Judicial Review (December 23, 2008)
Co-author, “Money: Investment Scams and What Firms May Be Able To Do About Them,” Practical Compliance & Risk Management for the Securities Industry (September/October 2008)
Co-author, “Blinded By Sundstrand: The ‘Good Faith’ Defense,” Securities Law360 (April 28, 2008)
Co-author, “In Focus: FINRA’s Sweep Targets Professional Designations Involving Seniors,” Complinet (September 19, 2007)
Co-author, “Cooperation, Only More So: What It Takes to Receive Credit for Cooperating With NASD,” Securities Regulation & Law Report (October 24, 2005)
Speaker, National Regulatory Services, Center for Compliance Professionals, Investment Adviser Compliance Certificate Program (February 15, 2007)
