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Special Agent, Investigations Division Compliance Unit – September 2015 to Present Agent, Corporate Securities Division - August 1995 to November 2003

As Agent, I completed investigations involving Nevada licensing requirements and related SEC regulations. I
received extensive training, formally and in the field, on oral and written communication skills as well as ac-
In September 2015, I was selected to lead the development and implementation of the Compliance Unit from counting rules for financial operations and reporting. Special emphasis was provided on managing and con-
the ground up. My duties included hiring new Agents, establishing standard operating procedures to include ducting interviews of C-level executives, individually and in groups.
timelines, standards, lines of authority, establishing a digital-only reporting program and manage the audits of
Compliance Plans. The Compliance Unit started with a staff of four but has since grown to a staff of five, with
one Agent working in a different city.
I was involved, both individually and as a team member, investigating foreign and domestic companies as they
progressed through their lifecycle as newly registered PTCs, through expansion and operations and, in some
cases, into mergers or bankruptcy. The investigations typically include suitability of individuals and entities to
As part of industry education, I have written two articles for the Nevada Gaming Lawyer publication, presented be licensed in Nevada, financial analysis of operations as well as source of funds and debt management and
at the 2017 Nevada Gaming Lawyer Conference and provided classroom instruction for various courses at the analysis of appropriate Regulations and Statutes. I was also selected as the Section representative on a team
University of Las Vegas International Center for Gaming Regulation. I also represent the Board with the Las tasked with rewriting financial performance and reporting regulations.
Vegas Anti-Money Laundering working group

Special Agent, Corporate Securities Section - July 2006 to September 2015

Personal and professional references available upon request.
Special Agent duties include team leadership, or personal investigation, of some of the most complex Section
cases to be presented to the Board or Commission. I am responsible for the primary communications with
applicants and executives, gaming counsel, foreign and domestic government and regulatory agencies, and
senior members of Board staff.

I managed the team investigating the licensing applications for suitability of one of the largest gaming opera-
tors in the World, which included travel to various Asian nations and the United Kingdom. In addition, I man-
aged the team investigating the merger of the two largest gaming manufacturers in the World and individually
completed investigations, and ongoing review, as the largest gaming operator in the United States completed
various operating and financial restructurings while entering bankruptcy reorganization.

I also provided instruction on investigative theory and techniques to outside agencies, both informally and in a
formal classroom setting.

Senior Agent, Corporate Securities Division - November 2003 to July 2006

Promotion to Senior Agent involved more varied types of investigations with little oversight, or as team leader.
As investigations became more involved in computer and Internet usage, I received extensive formal training in
computer operations and forensic techniques used to gain access to email communications and stored elec-
tronic records. As companies accessed more Wall Street financing, I learned the intricacies of venture capital
and private equity financing and required corporate structuring.

In addition, I became involved in more traditional law enforcement type investigations involving alleged viola-
tions of regulations or statues by companies or individuals, including conducting various investigative hearings
as a Chairman-appointed Board Hearings Officer.