General Counsel and Chief Compliance Officer
Sam joined HCR in 2017 and has over 20 years of experience as an attorney. He spent 11 years at the Securities and Exchange Commission as a senior counsel and a senior trial counsel, investigating and prosecuting securities fraud. He spent 9 years in private practice representing individuals and entities in criminal and commercial litigation as well as regulatory investigations. Sam attended Columbia University and Loyola Law School.
Failure is not fatal, but failure to change might be. - John Wooden
Important Career Moment
Obtaining a trial victory against the chairman of a mutual fund complex for securities fraud and breach of fiduciary duty.
Awards & Causes
Causes: Member of Board of Directors for St. John Bosco High School (Bellflower, CA) and St. Francis High School (Watsonville, CA);
Past president Thai American Bar Association
Awards: Two-time recipient of Director’s Award from the Director of the Division of Enforcement of the Securities and Exchange Commission
Arts & Entertainment
Movies: The Shawshank Redemption, Hoosiers
Books: Liar’s Poker by Michael Lewis, Blink by Malcolm Gladwell
TV Show: Friday Night Lights
Spending time with family, watching sports (especially those involving my two daughters), pilates, reading, playing basketball and golf