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Principal Litigation Counsel, Enforcement
A Principal Litigation Counsel works under managerial guidance to litigate nationwide non-disciplinary and disciplinary proceedings before the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC).     Essential Job Functions: Represent FINRA in a first or second chair capacity in disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board rules, and other self-regulatory organization rules. Represent FINRA in a first or second chair capacity in non-disciplinary hearings and litigation arising out of expedited proceedings, statutory disqualification decisions, membership application decisions, a


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