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David Porteous’ practice concentrates on the investment management, broker-dealer and financial services industries. He routinely counsels clients on regulatory enforcement proceedings and investigations including proceedings by the U.S. Securities & Exchange Commission (SEC), FINRA, state securities regulators and other government entities; assists clients with their compliance and regulatory risk management needs; and represents clients in complex civil and securities litigation. Before entering private practice, David was a staff attorney in the Securities & Exchange Commission’s Division of Enforcement and clerked for regional counsel for the National Association of Securities Dealers Regulation — Enforcement Division (now FINRA).