James V. Rego
FINRA
- Role
- Principal Investigator, Enforcement at FINRA
- Location
- Ridgewood, NJ, US
- LinkedIn followers
- 500 followers
About James V. Rego
Portfolio Manager with extensive experience in diverse financial products and compliance expertise on Wall Street; effective results-driven leader capable of working cross-functionally with multi-disciplinary teams needed to operate a successful systematic quantitative trading group; responsible for strategy formation, back-testing, execution processes/trading and risk management as well as compliance; excel at designing, building and testing equity trading systems.
Experience
Principal Investigator, Enforcement
Mar 2023 — Present · New York, NY, US
Lead complex securities investigations targeting violations of FINRA Rules and federal securities laws, leveraging 35+ years of options and equities trading expertise. Specialize in uncovering sophisticated market manipulation schemes, trading violations, and regulatory infractions through meticulous investigation and analysis.
Education
Rutgers University
BA, Marketing
Skills
- Options
- Trading
- Equity Trading
- Equities
- Electronic Trading
- Proprietary Trading
- Trading Systems
- Equity Derivatives
- Hedge Funds
- Derivatives
- Trading Strategies
- Financial Markets
- Capital Markets
- Etfs
- Bloomberg
- Fixed Income
- Series 7
- Securities
- Hedging
- Series 63
- Finra
- Valuation
- Portfolio Management
- Options Strategies
- Investments
- Series 24
- Market Data
- Technical Analysis
- Traders
- Structured Products
- Volatility
- Market Making
- Risk Management
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