Russell M. Fecteau

Russell Fecteau brings a wealth of enforcement and regulatory experience to his practice. A former senior enforcement attorney at FINRA, where he supervised a legal team on federal securities law and FINRA rules, Russell represents clients across the financial services sector regarding their most complex matters before FINRA, the SEC, and state regulators.

Recognized for his legal expertise, Russell is a go-to attorney for fintechs, broker-dealers, financial advisors, banks, and other financial institutions and professionals seeking counsel on enforcement matters, regulatory reviews, examinations, and investigations, as well as matters including securities lending, best execution, markups/markdowns, corporate and municipal bonds, equity and fixed-income trade reporting, market access, fraud and money laundering issues, and the full range of regulatory supervision and compliance challenges in the financial services space. Russell defends his clients in connection with reviews, investigations and examinations by the SEC and FINRA, prepares them for litigation when the need arises, and negotiates favorable case resolutions and settlements. He also provides regulatory and compliance guidance and is well-versed in reporting requirements and portals, including Reg. SHO, the Consolidated Audit Trail (CAT), equity trade reporting (TRF), and fixed-income trade reporting (TRACE and MSRB).

Apart from overseeing the most complex reviews before the SEC and other regulators, Russell can help prepare his clients for future challenges facing the industry and craft effective strategies to mitigate risks and manage growth. He has served as a panelist for the Financial Services Institute, forecasting trends in regulation and enforcement.