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Multiple Locations


Senior Special Counsel, Hearing Officer

Hearing Officers preside over formal disciplinary proceedings on a wide range of cases brought by FINRA’s Department of Enforcement against FINRA-registered firms and persons associated with FINRA-registered firms. Hearing Officers also preside over disciplinary proceedings initiated by the New York Stock Exchange and other self-regulatory organizations against their members and associated persons. Hearing Officers also adjudicate temporary cease and desist proceedings and a variety of other expedited proceedings against FINRA-registered firms and associated persons.

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