David Carey
Attorney at Law
Cold Spring Harbor
New York
New York
Licensed in
NY
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.
36
Years
experience
experience
Contact David
Practice Areas
Main Areas of Focus
Lawsuits & Disputes
Securities & Finance
Legal Research & Writing
Other Practice Areas
Client Reviews
5.0
out of 2 reviews
"I am new to UpCounsel but have successfully represented parties in real estate contracts and closings."
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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