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 25 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.