Bruce M. Bettigole

This includes 13 years in senior positions on the government/regulatory side. He has been lead trial counsel for the U.S. Securities and Exchange Commission (SEC) as Assistant Chief Litigation Counsel; Chief Counsel for NASD, now known as FINRA; Chief Counsel of NASD’s Criminal Prosecution Assistance Group; and Special Assistant United States Attorney for several U.S. Attorney’s offices. Bruce relies on his deep experience and insider’s knowledge of those agencies to represent clients involved in FINRA, SEC, Public Company Accounting Oversight Board (PCAOB), state securities commissions, and U.S. Department of Justice (DOJ) investigations and litigation, as well as in FINRA arbitrations and private securities class actions.

He provides counsel across a broad spectrum of securities enforcement matters, including allegations of misrepresentations, omissions, accounting fraud, stock manipulation, insider trading, deficient policies, and procedures, sales practices, supervision, and other key issues. His clients include broker-dealers, investment advisors and their associated persons; major public corporations and their officers, directors and key management personnel; and audit partners at Big Four public accounting firms.

Bruce served as Director and Chief Counsel in NASD’s Enforcement Department from 2003 to 2004, where he supervised investigations and litigation. He was Chief Counsel of NASD’s Criminal Prosecution Assistance Group from its inception in 1998 until 2003, supervising the unit and assisting federal, state, and local prosecutors nationwide in criminal securities-related investigations and prosecutions. From 1991 to 1998, Bruce was Assistant Chief Litigation Counsel with the SEC. He also served as Special Assistant U.S. Attorney in New York, Florida, and Nevada, and was lead trial counsel for numerous securities fraud prosecutions.