Gary Fischer Email and Phone Number

The members of the Fixed Income Specialist team serve as subject matter experts in fixed income products and activities for FINRA.

The members of the Fixed Income Trading and Execution Exams team serve as subject matter experts.The team's main function is to conduct examinations with respect to market transparency obligations and specifically addressing the quality of trade execution and reporting for firms trading debt securities including municipal, corporate, treasury, securitized debt, and agency bonds.

Regulatory risk reviews for small to large broker-dealers with international locations, global investment banks, venture capital firms, online trade execution firms, statutorily disqualified firms, firms servicing high net worth clients, distressed firms, and others. Review compliance with respect to Securities Exchange Act and Rules, FINRA, MSRB, and various stock exchanges rules.Routine firm examinations and examinations for cause resulting from SEC referrals and industry insider tipsReview adequacy of supervisory procedures and test internal processesSecondary markets reporting violationsExcessive markups and markdowns - corporate bonds, securitized debt, and municipal bondsNet capital testingAnti-money laundering procedural and supervisory reviewsBusiness Disruption PreparednessImplementation of information barriers, insider trading and conflicts of business lines controlsDue diligence controls for new products, third-party marketing, and downstream broker-dealersAdvertising violationsCybersecurityConflicts of interest in outside business activitiesPrivate securities transactions and selling away Supervision of part-time principals Hiring and supervision of high risk and associates suspended by FINRAAnnual Reporting to senior management and CEO certifications verifying testing and compliance of internal procedures with respect to securities laws, rules and regulationsRegulatory filings violations including misleading filingsAccount analysis for suspicious trading activityForeign equity trading activity in high-risk jurisdictions for detecting market manipulation and money laundering in U.S. marketsExploitation of seniors and other vulnerable investorsProduct suitability reviews, including complex and risky financial products.Improper accounting of intercompany financial activity

Largest Australian law enforcement agency with approximately 20,500 employees serving a population of more than 7,000,000 inhabitants of the Australian state of New South Wales. One of the largest police forces in the English speaking world.High-level strategic advice to Minister for Police and Commissioner of Police; in particular, organizational, legal, operational, and reputational risk managementMinister's and Commissioner's representative for civil actions filed against state and closely collaborated with external counsel to achieve satisfactory outcomes for the state Selected and managed external counsel retained to act on behalf of Minister or CommissionerSupervised pleadings and other court documentation drafted by external counselMentored legal externs, provided oversight of client interactions and written advice to the Minister or CommissionerAdvised executive stakeholders and managed external counsel with respect to litigation before the state Supreme Court of New South Wales, New South Wales Court of Appeal, and High Court of AustraliaAdvised on media releases to news organizations and content of internal publicationsLegislative review and advice on adequacy of state criminal laws and proposed criminal statutory amendmentsRisk management of confidential and secret information subject to discovery proceedings

First response and criminal investigations ranging from misdemeanors to serious feloniesSearch warrant applications from judicial officers and executions thereofPhysical evidence gathering and arrangement of expert analysis thereofPrepared pre-trial criminal information for courtsPrepared prosecution briefs including written statements by crime victims, civilian witnesses, expert witnesses and electronically recorded interviews with persons of interestPrepared first-time civilian witnesses for court appearancesExperienced criminal prosecution witness including bench hearings, jury trials and state Supreme Court hearingsPhysical evidence collection, preservation, and chain of continuity.

The Crown Solicitor provides legal services to the Australian State Government of New South Wales. While serving as in-house counsel described above, also included a 10-month placement as liaison officer with the State Crown Solicitor’s Office. Provided technical advice and other high-level specialist input for attorneys of the Crown Solicitor’s Office, that included conducting investigations and providing advice for politically sensitive matters subject to civil litigation involving executive-level agency personnel. After the 10-month period, returned to substantive in-house counsel position with NSW Police Force.