Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules.
Represent FINRA in a first chair capacity in non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership application decisions, and exemption/waiver decisions.
Represent FINRA in appeals before the National Adjudicatory Council; draft appellate briefs and argue appeals as needed.
Provide guidance and advice to Member Supervision and the Member Application Program on issues of statutory disqualification, member application denials, and waiver/exemption requests.
Draft, review and/or finalize complaints and other legal documents, including motions and responses thereto, exhibit and witness lists, and pre- and post-hearing briefs.
Be an active participant and coach in litigations. Advise on litigation strategy and the effective use of evidence; deliver and coach staff to deliver opening and closing statements; and conduct and coach staff to conduct direct and cross examinations of hearing witnesses.
Oversee all pre-hearing tasks, including ensuring the timely and complete production of discovery, drafting and arguing motions, collecting and preparing hearing exhibits, and conducting witness prep.
Ensure that team members are adequately prepared for hearing; conduct moot sessions and provide feedback to team members on witness prep, witness examination outlines, and work product.
Conduct litigation consults, including consulting with staff and managers on charging issues, legal theories, litigation strategy, pleading style, evidentiary issues, litigation risks, and sanctions.
Counsel staff on concerns or needs related to any potential litigation, such as required witness testimony, use of transcripts in lieu of testimony, evidence related to sanctions, defenses to mitigation, expert testimony, and summary exhibits.
Independently conduct legal research, and prepare clear and concise advocacy documents that require minimal editing.
Negotiate settlements with respondents and their attorneys and review and prepare Offers of Settlement.
Recommend and deliver content for litigation training as requested.
Effectively collaborate with available staff across FINRA as appropriate (Enforcement investigative staff, Member Supervision, Member Application Program, Market Regulation, Office of General Counsel).
Law degree and admission to the bar.
A minimum of 10 years of litigation experience with demonstrated ability to administer and try complex securities cases.
First-chair trial experience.
Excellent litigation, oral and written communication skills.
Comprehensive knowledge of trial techniques, federal securities laws, Federal Rules of Evidence, and Federal Rules of Civil Procedure.
Excellent interpersonal and organizational skills.
FINRA is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange.