Curaleaf Taps Ex-FINRA Official To Lead Compliance

Law360 (April 30, 2020, 6:50 PM EDT) -- Cannabis company Curaleaf Holdings Inc. has hired James Shorris, a former enforcement chief for the Financial Industry Regulatory Authority, as its new chief compliance officer, the company said Thursday.

A representative of Curaleaf said Shorris began his new position in March. Shorris had previously served as the executive director of enforcement at FINRA until 2011. Before that, he was the chief of enforcement for the organization's predecessor, the National Association of Securities Dealers, according to FINRA's website.

Shorris was also the chief compliance officer at BMO Capital Markets from 2018 to 2019, chief compliance officer of enterprise regulatory programs at Citizens...

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