Sam is a senior regulatory compliance professional with over 30 years in the financial services industry and an energy and depth of institutional knowledge that clients and colleagues find equally compelling.
He joined CRC Oyster in 2023 and specializes in Control Room, Investment Banking, Capital Markets, Research, and Information Barriers practices. Sam began his career as a Compliance Surveillance Analyst at Shearson Lehman Brothers and went on to hold compliance roles at Drexel Burnham, Bankers Trust, NatWest Securities, Citibank, Donaldson Lufkin & Jenrette, and Credit Suisse. The most extensive chapter of his career came at UBS, where he served as Head of the Control Room, Head of Compliance Advisory for the Investment Banking Department, and global administrator for the firm’s internal Compliance Control Room systems, working across both the Los Angeles and New York offices.
Sam holds a Bachelor of Science in Marketing and Advertising from Indiana University and maintains Series 4, 7, 8, 9, 10, 14, 24, 63, and 79 securities licenses.
