Josephine Vella

Principal Counsel @FINRA

New York, NY, US

Lead investigations and enforcement actions against broker-dealers and individuals for violations of FINRA rules and securities laws, focusing on anti-money laundering (AML), advertising, cyber security, off-channel communications, material non-public information (MNPI), sales practices, and supervisory systems.• Secured $6.5M in settlements for unsuitable short-term trading of preferred stocks and closed-end funds, delivering restitution to impacted investors.• Manage all phases of docket of enforcement matters, including issuing requests, testimony, evidence analysis, negotiating settlements, and drafting formal agreements.• Supervise investigatory staff (10 individuals in multiple departments and regions), enhancing collaboration and efficiency during firm examinations and targeted investigations.• Advise senior management on policy developments and legal precedent; and recommend resolution strategies that align with business goals and emerging market conditions.