Russell Fecteau focuses his practice on securities enforcement defense and regulatory counseling for broker-dealers and individuals with respect to the federal securities laws, SEC rules, Financial Industry Regulatory Authority (FINRA) rules, and the rules of other self-regulatory organizations, such as the Municipal Securities Rulemaking Board (MSRB).
Russell previously spent more than a decade in FINRA’s Market Regulation Department. While at FINRA, Russell was part of various regulatory, examination, and enforcement activities involving the rules related to best execution; equity and fixed income trade reporting; fair pricing; Order Audit Trail System (OATS) reporting; record keeping; Regulations National Market System (NMS) and SHO; and supervision. He also investigated and resolved novel and complex matters involving prohibited trading practices.
Member, Law Firm of the Year, Securities Regulation, US News/Best Lawyers – Best Law Firms (2019)
Member, District of Columbia Bar Association
Member, New York Bar Association