Ken Leopold practices law in the field of investment advisor and broker dealer regulation. He started his career over 30 years ago as an Enforcement Attorney with the U.S. Securities and Exchange Commission, followed by a similar role with the American Stock Exchange. Ken has served as Associate General Counsel and then Deputy General Counsel and Chief Compliance Officer at Neuberger Berman LLC, followed by General Counsel and Chief Compliance Officer at Tweedy, Browne Company. Ken received his Bachelor’s Degree, summa cum laude, from Fordham University where he was a member of Phi Beta Kappa. He received his J.D. from Brooklyn Law School.