David Carey

David Carey

Attorney at Law

Cold Spring Harbor
New York
Licensed in
NY
St. John's University School of Law

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About
David Carey is a regulatory attorney that most recently acted as counsel in a petition under the Interstate Discovery and Depositions Act. David also recently served as lead counsel in responding to a self-regulatory organization’s trading inquiry, collecting evidence, interviewing witnesses and preparing the response. While serving as Associate Director at FINRA, and its predecessor the New York Stock Exchange, David served as subject matter expert ensuring four regional offices consistently administered procedures on jurisdiction, injunctions, conflicts of interest, data privacy, and suspicious activity reports.
35
Years
experience
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Practice Areas

Client Reviews

5.0
Clear Communication
Response Time
Knowledgeable
Meets Deadlines
out of 2 reviews
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"I am new to UpCounsel but have successfully represented parties in real estate contracts and closings."

Real Estate Closing
Non-UpCounsel Client
Clear Communication
Response Time
Knowledgeable
Meets Deadlines

"I am new to UpCounsel but have worked with Law Clerk and Hire An Esquire"

SRO Trading Inquiry
Non-UpCounsel Client

Work History

FINRA

Associate Director

Nov 2021 - Jan 2020

• Prepared awards in brokerage industry expungement arbitrations (breach of contract, defamation, failure to pay wages, etc.)
• Trained over 200 arbitrators on FINRA rules on discovery, hearing procedures and awards in employment and consumer cases.
• Prepared reports and rule proposals for SEC’s Division of Trading and Markets and Office of Compliance Inspections.
• Respond to SEC audit request

Nov 2021 - Jan 2020

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