Mr. Amoruso focuses his practice on securities compliance, regulation, market structure matters, as well as counseling broker-dealers and financial institutions on a wide array of legal, compliance and regulatory matters. He counsels market participants regarding regulatory requirements and controls, examinations, investigations, enforcement and disciplinary proceedings with a particular focus on trading-related matters and he also advises those entities with respect to corporate governance. Mr. Amoruso also has extensive experience with multiple asset classes and in dealing with U.S. and foreign regulators, including, the SEC, CFTC, FINRA, NYSE and the Financial Conduct Authority (UK).

Mr. Amoruso has 30 years of financial industry experience, specifically in the legal, compliance, operational and regulatory policy arenas. From 1989-1999, Mr. Amoruso was with the New York office of the Financial Industry Regulatory Authority (FINRA), having served as Chief Counsel and, subsequently, Deputy Director. In these roles, Mr. Amoruso oversaw hundreds of examinations, investigations, enforcement matters, and new/continuing member applications. After FINRA, Mr. Amoruso spent more than 14 years at Knight Capital Group, Inc. – initially, as the Chief Compliance Officer of its broker-dealer, Knight Securities, LP, and subsequently as the General Counsel for the parent company – managing the legal, compliance, AML, internal audit, regulatory affairs, and government relations programs for the firm on a global basis.

Mr. Amoruso has served on numerous industry committees and is a frequent speaker at industry conferences. Mr. Amoruso has been a member of the regulatory boards of the NASDAQ Stock Market LLC and Direct Edge Exchange.

Awards and Recognition

• Prominent Securities Attorney Joins Murphy & McGonigle
  (01/06/2015)
  

Seminars and Presentations

• Schemers and Scammers, 2017 Edition: The Never Ending Battle Against Fraud
  11/09/2017 | (11/09/2017)
  
• Len Amoruso interviews FINRA CEO Robert Cook at 2017 Security Traders Association Market Structure Conference
  09/13/2017 - 09/15/2017 | (09/13/2017)
  
• Fireside Chat with Michael J. Osnato, Jr., Recently Departed Chief, Complex Financial Instruments Unit, Division of Enforcement, U.S. Securities and Exchange Commission, Moderator, SIFMA Leader and Experts Forum
  01/26/2017 | (01/26/2017)
  
• Regulation Through the Eyes of Non-Bulge Bracket Firms & New Issuers, 83rd Annual Market Structure Conference
  09/14/2016 - 09/16/2016 | (09/14/2016)
  
• Cantor Fitzgerald’s ETF Symposium
  05/19/2016 | (05/19/2016)
  
• What Are Venture Exchanges and How Should They Be Regulated
  05/04/2015 | (05/04/2015)
  

In the News

• New York Managing Partner to Interview FINRA’s Thomas Gira at STA’s Market Structure Conference
  (09/24/2019)