News
Summary
Drawing from his experience in private practice and in-house as the chief legal officer of a FINRA-member digital asset issuance and trading platform, Bobby uses his unique perspective to advise financial services and technology firms on financial services regulatory and corporate matters.
He focuses on the representation of financial technology companies working with blockchain, tokenization, digital assets, and cryptocurrencies seeking regulatory advice as they grow their business. Bobby has extensive experience in product development, regulatory licensure application, and advocacy in complex digital asset legal issues.
Bobby’s clients include broker-dealers, alternative trading systems (ATS), digital asset and currency trading platforms, digital asset issuers and custodians, securities exchanges, and derivatives trading platforms including swap execution facilities, among other regulates entities. He has represented these clients them before Congress, the Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), and state financial services regulators. Additionally, Bobby represents money services businesses and payment processors before the federal banking regulators, including, the Financial Crimes Enforcement Network (FinCEN), and state banking regulators.
In addition to his prior role as chief legal officer, he also served as the associate general counsel of the digital asset trading ecosystem’s holding company, leading various state and federal financial services licensure applications; interfaced with regulators; provided counsel on a wide range of securities, commodities, and derivatives product development efforts; and helped develop a regulatory compliant business model and launch strategy.
Bobby frequently shares his insights through writing and speaking opportunities.
All Service Areas
Education
- Georgetown University Law Center (2016)
- Executive editor, Food and Drug Law Journal
- University of Denver (2012)
- International Relations & Affairs
- Cum laude
Admissions
- State - Colorado
Notable Matters
- Has advised clients in novel digital asset product development.
- Has assisted clients with registering as broker dealers operating alternative trading systems (with or without digital asset permissions) with FINRA and the SEC
- Has assisted clients with obtaining state money transmitter licenses and registering as federal money services business
- Has advised on compliant digital asset securities
- Has assisted clients in responding to and negotiating financial services regulatory inquiries and investigations, including from the SEC, FINRA, and the CFTC
- Has drafted petitions for rulemaking and rule change, as well as comment letters, to the SEC and FINRA on behalf of financial technology clients
Speeches and Publications
- FinTech Code as Protected Speech, FinTech University Series – speaker (Jan. 14, 2025)
- The Major Questions Doctrine: A Challenge to the SEC’s Authority, FinTech University Series – speaker (Nov. 19, 2024)
- Regulation of the Use of AI by Financial Institutions, FinTech University Series – speaker (July 9, 2024)
- FinTech and Securities Trading Platforms, FinTech University Series – speaker (June 4, 2024)
- FinTech and Qualified Matching Tax Services, FinTech University Series – speaker (April 9, 2024)
- 2024 FinTech Update – speaker (March 20, 2024)
- FinTech and Stablecoins, FinTech University Series – co-presenter (Jan. 9, 2024)
- Arca Labs’ Finance on the Blockchain Conference – moderator (Jan. 27, 2023)
Blogs
- The SEC May Have a Problem—Crypto Enforcement in the Age of the Major Questions Doctrine, FinTech Nostradamus – co-author (Jan. 7, 2025)
News
Taft/Sherman & Howard Expands FinTech Practice with 2 Renowned Partners News
Leading FinTech Attorneys Join Taft
Professional Affiliations
- Colorado Bar Association
Member