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Chief Compliance Officer, Brokerage at Robinhood
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Securities law, compliance, fraud prevention, legal & regulatory. Previously spent 20+ years performing regulatory compliance, supervising the review of regulatory filings and overseeing financial fraud investigations for key regulatory bodies; FINRA and the NYSE. Previously served as an Assistant District Attorney in the New York County District Attorney’s Office where he was responsible for investigating and prosecuting various criminal matters including white-collar cases.
Current Company
Robinhood
Role
Chief Compliance Officer, Brokerage
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