Russell M. Fecteau

Of Counsel

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).

report

2020 Year in Review and a Look Forward: Select SEC and FINRA Developments and Enforcement Cases

Extended Profile

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.