Lisa Colone joins CSG Law after most recently serving as a Vice President in FINRA’s Department of Enforcement, where she led a team of Chief Counsels and more than 100 attorneys in investigating and enforcing violations of FINRA rules and federal securities laws. FINRA, also known as the Financial Industry Regulatory Authority, is the largest independent regulator of the brokerage industry in the United States. As a former FINRA Enforcement leader, Lisa has deep insights into FINRA’s priorities and practices, as well as those of other self-regulatory organizations (SROs), the U.S. Securities and Exchange Commission (SEC), and state securities regulators and attorneys general.
Lisa also previously served FINRA’s Department of Enforcement as Chief Counsel and as Senior Regional Counsel. As Chief Counsel, she led a team of directors and attorneys and supervised more than 350 cases related to fraud, supervision, suitability, and anti-money laundering (AML) violations. Lisa oversaw some of the Department’s most significant matters—including FINRA’s largest-ever settlement against a broker-dealer. Cases supervised by Lisa have been featured in the Wall Street Journal, the New York Times, and the Philadelphia Inquirer, among many others.
Before FINRA, Lisa served in the U.S. Attorney’s Office for the District of New Jersey for nearly nine years, including as Deputy Chief of the Criminal Division. In that role, she supervised the prosecutions emanating from the Office’s Economic Crimes Unit and the Asset Forfeiture and Money Laundering Unit, including prosecutions of complex cases related to securities fraud, bank fraud, insider trading, market manipulation, mail and wire fraud, and tax fraud, among many others. Prior to her promotion to Deputy Chief, Lisa served as Chief of the General Crimes Unit.
Lisa was an associate at a New York-based law firm prior to joining the U.S. Attorney’s Office. She also clerked for the Honorable Catherine C. Blake, U.S.D.J. for the District of Maryland.
Lisa earned her J.D. from the University of Virginia School of Law and her B.A., with distinction, from the University of Virginia.
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- Completed the Analytics for FINRA Leaders course at the McDonough School of Business of Georgetown University
- Completed the FINRA Leadership Development Program at The Wharton School of the University of Pennsylvania
- American Bar Association
- New York City Bar Association
- New Jersey State Bar Association, Securities Law Committee
- University of Virginia School of Law (J.D., 2002)
- University of Virginia (B.A., with distinction in Foreign Affairs & Italian, 1997)
- New Jersey
- New York
- U.S. District Court, Eastern District of New York
- U.S. District Court, Southern District of New York