Scott Gilbert Email & Phone Number

United States

New York, New York

Responsibility for Department of Member Supervision, New York District’s examination and risk monitoring programs. Manage approximately 200 employees . Oversee all aspects of Member Regulation sales practice examinations including strategy, execution, and disposition. Review broker-dealers in the financial industry for compliance with FINRA rules and federal securities laws. Supervise individual and firm cause examinations arising from tips, complaints, arbitrations, terminations for cause, and other industry filings. Liaise with senior executives at member broker-dealers, the SEC, and other regulators. Work with FINRA Enforcement to develop and refer actionable findings. Manage a team responsible for statutory disqualification process. Design and implement regulatory programs, policies, and systems to further advance FINRA's mission of investor protection and market integrity.

Greater New York City Area

Weehawken, Nj

Responsible for all aspects of compliance for wealth management organization of approximately 7,000 financial advisors. Work closely with Chief Compliance Officer and General Counsel on significant compliance initiatives and issues affecting broker-dealer. Provide advice to senior management regarding litigation, regulatory and reputational risk with respect to both strategic planning and daily operations. Manage group of professionals providing compliance advice relating to all aspects of sales practice; field supervision; home office operations; private wealth management; client relations, and pre-hire vetting of financial advisors. Responsible for development and implementation of all compliance policies. Steering committee and work stream lead participation in strategic change projects.

Weehawken, Nj

Director and Senior Associate General Counsel (2004-2006)Executive Director and Senior Associate General Counsel (2006-2011)Head, Special Review Group and Subpoena Group (2006-2011)Responsible for broker-dealer program of internal investigation and disciplinary recommendations with respect to employee misconduct. Managed team of investigating attorneys and analysts. Advised senior management regarding risk arising from employee sales practices and related conduct. Responsible for regulatory filings regarding employee discipline. Supervised staff responsible for responding to third-party civil and grand jury subpoenas and determined Firm's response to related legal issues.

New York, Ny

Vice President, Senior CounselGlobal Regulatory Matters and Internal Reviews, Office of General CounselResponsible for investigating allegations of employee misconductand sales practice complaints, and recommending appropriate disciplinary action. Provided counsel to business units with regard to evaluating employee conduct and related regulatory and litigation risk. Responded to regulatory inquiries regarding sales practices and disciplined employees. Interfaced with securities regulators regarding investigations and enforcement actions.

New York, Ny

Responsible for enforcing rules of securities self-regulatory organization and federal securities laws. Investigated customer complaints. Prosecuted disciplinary actions, including drafting charge memoranda, affidavits, motions and briefs. Negotiate settlements with respondents. Tried contested matters before internal hearing panel, including presentation of evidence and direct and cross examination of witnesses. Appellate briefing and argument before Exchange Board of Directors and SEC.

New York, Ny

New York, Ny

Doctor Of Law - Jd, Law

Bachelor Of Arts - Ba, Political Science And Government