Top FINRA Enforcer Headed Back To Private Sector

Law360, New York (February 22, 2011, 12:42 PM EST) -- James S. Shorris, executive director of enforcement at the Financial Industry Regulatory Authority, will rejoin the private sector after nearly four years overseeing the agency's national and regional investigations and prosecutions.

Shorris announced Friday that he will leave the Wall Street self-regulatory organization in April.

He joined the National Association of Securities Dealers in 2003 as its deputy chief of enforcement. While there, Shorris helped to coordinate the development and implementation of enforcement policy, as well as overseeing investigations and litigation.

In 2006, he was named...
To view the full article, register now.