Jill G. Fieldstein
Jill G. Fieldstein is of Counsel to our Financial Industry Regulatory Authority (FINRA) team. She represents financial institutions and industry professionals subject to investigation or prosecution by FINRA and other securities industry regulators. Ms. Fieldstein was previously a Senior Counsel in FINRA’s Department of Enforcement where she investigated and prosecuted cases involving potential violations of a wide range of securities laws and regulations.
She brought significant Enforcement actions in such diverse areas as Regulation D, Anti-Money Laundering, fraudulent investment schemes, and unsuitable sales, and inadequate risk disclosures in the offering of various derivatives and fixed income products. Prior to joining FINRA, Ms. Fieldstein gained broad experience in private practice at several prestigious New York law firms where she represented clients in a wide range of civil actions.
Her representations included defending an investment bank and one of its equity research analysts in a class action asserting claims related to an allegedly fraudulent “pump and dump” scheme, and defending a financial advisor accused of selling securities that were unsuitable for his customer’s investment needs.
Ms. Fieldstein’s areas of expertise include regulatory investigations and enforcement actions, expungements, promissory note disputes and customer disputes, including:
- Obtaining a pre-hearing dismissal of a respondent from a FINRA customer dispute arbitration and an expungement of the proceeding from the respondent’s CRD record.
- Obtaining significant reductions on respondents’ promissory note obligations to their former broker-dealer employers.
Areas of Practice
- Securities Industry Regulatory and Licensing Matters
- Outside General Counsel™
- Corporate Compliance and Ethics Counseling and Investigations
- Intellectual Property: Trademarks and Copyrights
- Human Resources, Personnel and Employment Counseling and Litigation
- Litigation, Trial and Appellate Matters
- New Jersey Business Dispute Resolution Lawyers
- Records Retention, Information Management & Electronic Discovery
- New York
- U.S. District Court for the Southern District of New York
- U.S. District Court for the Eastern District of New York
- Fordham University School of Law, Juris Doctor
- The University of Pennsylvania, Bachelor of Arts
Speaking Engagements and Prior Experience:
- Webinar: Understanding Restricted and Control Securities
- Webinar Series: Keep Calm and Carry On: What You Should Be Doing (But Probably Aren’t) When You Receive Notification of the Exam
- Webinar Series: First Day Jitters: What You Should Be Doing (But Probably Aren’t) When the Regulator is On-Site
- Webinar Series: When the Speed Date Ends: What You Should Be Doing (But Probably Aren’t) When the Regulator Moves on to the Field
- Webinar Series: Read ‘Em and Weep: What You Should Be Doing (But Probably Aren’t) When Responding to Deficiency Letters
- Former producer and associate producer of television news shows and documentaries including: Watergate: The Secret Story with Mike Wallace, CBS News; Who’s Afraid of David Duke?, Frontline; Koppel Reports: Drugs, Crime and Doing Time, Koppel Communications; and World News This Morning, ABC News.