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Macauley (Mac) provides securities regulatory advice to financial technology-focused broker-dealers, investment advisers, and cryptocurrency trading platforms. Such counsel includes guiding these companies in how to understand and operate their businesses in compliance with federal and state securities laws, FINRA rules, state money transmitter licensing, and New York’s BitLicense requirements.
Prior to joining Lowenstein, Mac was an associate at a national law firm, where he counseled registered advisers, broker-dealers, and exchanges on all aspects of securities regulation. He also worked for the Financial Industry Regulatory Authority (FINRA), where he supported U.S. Attorneys and FBI agents in the investigation and prosecution of securities and financial frauds and other related crimes. In addition, Mac worked for the U.S. Securities and Exchange Commission, where he assisted in all phases of securities investigations and civil proceedings.