jason farrell

About

Investigator / Legal Specialist at U. S. Securities and Exchange Commission

Country

united states

City

boston

Industry

legal services

Skill

legal research, litigation, securities regulation, fraud, depositions, research, analysis, investigation, legislation, dodd frank, legal writing, litigation support, civil litigation, corporate governance, securities, commercial litigation, due diligence, courts, legal compliance, white collar criminal defense, criminal law, internal investigations, corporate law, securities litigation

Experience

special investigator

u.s. securities and exchange commission

2011-1 - 2016-1 · 5 yrs 1 mo

Research, analyze, evaluate, and respond to tips, complaints, and referrals that relate to potential violations of the federal securities laws or investor concerns. Investigate white collar crime to ensure US Securities markets are fair, honest and not compromised. Protect investors with an emphasis on the Dodd-Frank whistleblower program. Prepare, compile, and summarize depositions, transcripts, and other relevant materials for use in litigation and investigation. Ensure that publicly held entities, broker-dealers in securities, and investment companies and advisers comply with federal securities laws and have implemented appropriate compliance safeguards.