David Carey
Attorney at Law
New York
NY
"I am new to UpCounsel but have worked with Law Clerk and Hire An Esquire"
About
experience
Practice Areas
Client Reviews
"I am new to UpCounsel but have successfully represented parties in real estate contracts and closings."
"I am new to UpCounsel but have worked with Law Clerk and Hire An Esquire"
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