Alan is a trial attorney whose practice emphasizes securities arbitrations, securities enforcement and regulatory matters, commercial litigation and white collar criminal cases. During the last 25+ years, Alan is the only attorney to obtain a fee award against the Arizona Corporation Commission in a securities case; he has done so twice. He has enjoyed similar success in securities arbitration. Alan is one of a handful of attorneys to have obtained a 7-figure award in an Arizona NASD (now FINRA) arbitration, and has settled cases involving many millions of dollars. He also successfully defended and obtained an award of attorneys’ fees against a brokerage firm that attempted to attach a client’s assets prior to initiating an arbitration.

Starting with his first job as an attorney Alan has been immersed in securities cases; in 1990 Alan joined the Securities Division of the Arizona Corporation Commission where he was Senior Counsel in the Securities Division’s Enforcement Section. He investigated and prosecuted administrative, civil and criminal securities cases. In 1992, Alan moved literally across the street to the Arizona Attorney General’s Office where he spent over five years prosecuting primarily white collar and securities cases as an Assistant Attorney General in the Securities Division. Alan’s time at the Attorney General’s Office provided invaluable trial experience, as he was fortunate enough to prosecute not only securities and other fraud trials, but he also presented DNA evidence and prosecuted a three-month long six-defendant prison murder trial. In addition, as a young attorney Alan had the opportunity to argue in the Arizona Court of Appeals in Hernandez v. Superior Court, which resulted in a published opinion remaking Arizona law regarding the double jeopardy implications of successive administrative and criminal prosecutions of securities matters.