Jerome Whalen
Lincroft,NJ
Summary
Partnered with FINRA legal counsel in investigating customer complaints and examination findings leading to sanctions, fines, suspensions and/or expulsions of individual registered representatives and member firms for violations of securities industry regulations and Federal law. In instances where criminal conduct was detected, referrals were made to the SEC for prosecution.
Overview
24
24
years of professional experience
Work History
Principal Investigator
Financial Industry Regulatory Authority, FINRA
07.2017 - 12.2024
- Conducted investigations into brokerage firms and registered representatives of the securities industry to ensure compliance with FINRA, MSRB and NASD regulations.
Compliance Officer
Fidelity Investments
10.2000 - 05.2017
- Primary Compliance contact for several operational areas within Fidelity, including Margin, Security Master and Treasury departments.
Education
Bachelor of Science - Communication Arts
St. John's University
Jamaica, NYSkills
- Trade Blotter Analysis
- Commission Reports Analysis
- Customer Account Statement Analysis
- Books and Records Analysis
- Correspondence analysis
- Phone record analysis
- Profit and Loss Analysis
- Suitability Analysis
- SARS Report Analysis
- Identifications of Patterns
- Litigation Techniques
- Investigative Interviewing Techniques
- Taking "On The Record" Testimony
- Exhibit Preparation
Accomplishments
- Anti-Money Laundering
- Senior investor exploitation
- Conversion of Funds
- Unauthorized Trading
- Market Manipulation
- Customer Protection Rules
- Possession and Control Regulations
- Outside Business Activities of Registered Representatives
- Supervision of Registered Representatives
As a principal investigator in the Enforcement Division of FINRA I conducted and/or participated in multiple investigations into regulatory matters of the securities industry, concerning such issues as:
FBI Citizens Academy Program
Gained insight into the daily operations of the FBI, including the tools and methodologies used in executing the law enforcement responsibilities of an FBI agent.
Training
John E. Reid & Associates - Successfully completed courses in The Reid Technique of Investigative Interviewing & Positive Persuasion.
Practising Law Institute - CE courses in Regulation, Compliance and Enforcement.
Systems Expertise
- Lexis Nexis
- Court Link Reports
- Clear Reports
- Decipher
- Polaris
- Relativity One
- Veritext
- Central Registration Depository (CRD)
- OFAC Search
- EDGAR Search
Affiliations
- FBI Citizens Academy Alumni Association
- Ancient Order of Hibernians, Division II, Monmouth County NJ
Timeline
Principal Investigator
Financial Industry Regulatory Authority, FINRA
07.2017 - 12.2024
Compliance Officer
Fidelity Investments
10.2000 - 05.2017
Bachelor of Science - Communication Arts
St. John's University
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