Caroline Hall
Janney Montgomery Scott— Chief Compliance Officer and Deputy GC
- Role
- Deputy General Counsel and Chief Compliance Officer at Janney Montgomery Scott LLC
- Location
- Philadelphia, PA, US
- LinkedIn followers
- 500 followers
About Caroline Hall
SpecialtiesCompliance with securities industry regulation. Disputes relating to the financial services industry, including securities and broker-dealer litigation; regulatory and enforcement proceedings; complex commercial litigation; internal investigations; regulatory and compliance consulting and risk assessment.
Experience
Deputy General Counsel and Chief Compliance Officer
Feb 2019 — Present · Philadelphia, PA, US
Education
Maurice A. Deane School of Law at Hofstra University
JD, Political Science and Psychology
Vanderbilt University
BA, Political Science and Psychology
Skills
- Finance
- Courts
- Arbitration
- Legal Writing
- Securities Regulation
- Securities
- Employment Law
- Securities Litigation
- Financial Regulation
- Fcpa
- Commercial Litigation
- Financial Services
- Trials
- Bankruptcy
- Licensing
- Fraud
- Corporate Governance
- Corporate Law
- Dispute Resolution
- Intellectual Property
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