Steven Wachtel -
Criminal Defense Firm

Mr. Wachtel previously was an Assistant Vice President and Counsel with AllianceBernstein, L.P., where he assisted the firm's Mutual Fund Independent Chief Compliance Officer with all facets of the Fund's Rule 38a-1 compliance program, which is the SEC's Mutual Fund Compliance Rule.  At AllianceBernstein he tracked and monitored litigation which affected the Fund's and reviewed Fund registration statements and shareholder reports for compliance with federal securities laws and FINRA/NASD rules.  He also helped to create a new firm-wide conflicts and insider trading survey.  While at AllianceBernstein, he obtained his Series 7, 24 and 66 licenses.

Prior to AllianceBernstein, Mr. Wachtel served as a Regulatory Officer at the Office of the New Jersey Attorney General, Bureau of Securities.  As a Regulatory Officer, he successfully investigated and litigated violations of the New Jersey Uniform Securities Law.  He worked on joint investigations with other securities regulators, including the SEC, the NASD and other States, and criminal agencies.  Mr. Wachtel advised outside attorneys, compliance officers, and securities issuers on compliance with the New Jersey's securities law.  He also reviewed securities registration statements for both public and private securities offerings.  As a result of Mr. Wachtel's work on Corporate Finance matters, he was appointed to a North American Securities Administrators Association (NASAA) committee on Small Business Capital Formation.

Mr. Wachtel is licensed to practice in New York and New Jersey and the United States District Court in New Jersey. Mr. Wachtel is a 2002 graduate of Brooklyn Law School.  He earned a B.A. from Binghamton University in 1995, where he played ice hockey.