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Principal Counsel, Appellate
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- Handle the complete life cycle of appellate matters within FINRA and on appeal to the SEC; provide expert knowledge to the National Adjudicatory Council (NAC) and Board of Directors on all appellate matters and related issues by advising them on factually and legally complex appellate matters.
- Essential Job Functions: Serves as attorney-advisor to the National Adjudicatory Council (NAC) in FINRA disciplinary proceedings, conducting a thorough review of all assigned cases to determine whether the findings and sanctions are supported by the law and relevant facts and providing high-quality legal advice and guidance to members of the NAC.
- In connection with NAC appeals, identifies and engages in appropriate legal research on substantive legal matters and procedural issues, counsels NAC Subcommittees, disposes of all pre-hearing matters, conducts appeal hearings, and drafts memoranda and proposed and final decisions.
- Defends NAC decisions that are appealed to the SEC, through motions practice and appellate briefs.
- In connection with Membership Appeals, identifies and engages in appropriate legal research on substantive legal matters and procedural issues, counsels hearing panels, disposes of all pre-hearing matters, conducts appeal hearings, and drafts memoranda and proposed and final decisions.
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