Prior to joining K&L Gates, Mr. Dyson was senior counsel to the Financial Industry Regulatory Authority (FINRA). He was responsible for reviewing regulatory and compliance referrals by the Market Regulation and Enforcement staff against broker-dealers and/or brokers involving violations of ethical rules and federal securities laws; rules and regulations identified in the course of FINRA cycle examinations, audits, industry sweeps, and customer complaints; termination notices and investigations by the Office of Fraud Detection and Market Intelligence; tips to the Office of the Whistleblower; special investigations; and making a determination, based on an analysis of the sufficiency of evidence and applicable law, whether FINRA should pursue formal disposition of the recommended charges.
Mr. Dyson also represented FINRA in disciplinary hearings, expedited proceedings, and settlement negotiations as well as served as lead counsel in special investigations of potential misconduct in violation of FINRA, NASD, NYSE, Nasdaq, Bats, and MSRB rules; the Securities Act of 1933; the Securities Exchange Act of 1934; the Investment Advisers Act of 1940; and other federal securities laws, rules, and regulations.
Mr. Dyson was previously a partner at another Washington, D.C. law firm where he successfully litigated all aspects of cases from commencement through appeal. He has particular experience representing clients in various civil and criminal matters, with a concentration on complex civil cases, white-collar criminal litigation, and securities enforcement and regulation matters.