Bruce Sabados

Senior Counsel @FINRA

New York, NY, US

Investigation of broker-dealers and associated persons for violations of FINRA rules and federal securities laws. Leads multiple, complex investigations of large firms and individual brokers in a wide variety of substantive areas, including fraud and negligent misrepresentation, outside business activities, private securities transactions, customer complaint reporting, Form U-4 disclosure requirements, 15c3-5 and market access requirements, technology governance, written supervisory procedures and supervisory systems and other violations of just and equitable principles of trade. Conducts on the record testimony and interviews. Marshals evidence obtained from investigations, assesses potential sanctions and negotiates resolutions, including industry bars where appropriate. Oversees and directs investigative staff. Collaborates and builds relationships with other FINRA departments, including Member Regulation - Sales Practice, Risk Oversight and Operational Regulation, and Membership Application, and with other regulatory bodies including the SEC.

College of the Holy Cross

B.A.

The George Washington University Law School

J.D.