Russell M. Fecteau

Of Counsel

Russell is a former senior attorney at FINRA who leverages his prior experience as a regulator in enforcement, regulatory counseling, and internal investigations involving the Securities and Exchange Commission (SEC), FINRA, and state regulators. He represents broker-dealers, fintechs, and financial professionals in investigations and examinations involving best execution, markups/markdowns, short sales, Regulation M, securities lending, margin requirements, customer confirmations, Regulation BI, the Market Access Rule, and anti-money laundering issues. Russell counsels clients on trade reporting requirements for municipal securities, corporate bonds, securitized products, agencies, and Treasuries.