What You Need to Know: Securities Enforcement Resources for Companies and Individuals

As a full-service law firm, Chiesa Shahinian & Giantomasi PC (“CSG Law”) assists a broad spectrum of clients in achieving their objectives by offering a comprehensive array of legal services.

The CSG Law Securities Enforcement Group, led by two top former FINRA executives, Christopher J. Kelly, the former Senior Vice President and Deputy Head of Enforcement, and Lisa M. Colone, the former Vice President – Enforcement Legal, offers unrivaled excellence in defending companies and individuals in regulatory examinations, investigations, disciplinary actions, and litigation. FINRA, also known as the Financial Industry Regulatory Authority, is the largest independent regulator of the brokerage industry in the United States. As former FINRA leaders, both Chris and Lisa have deep insight into FINRA’s priorities and practices, as well as those of other self-regulatory organizations (SROs), the U.S. Securities and Exchange Commission (SEC), and state securities regulators and attorneys general.

For a more extensive overview of the group’s capabilities and experience, please visit csglaw.com/service/securities-enforcement.

Contact us today for additional information on how we can assist you with any of your securities enforcement and litigation needs.

Meet the Leaders

Christopher J. Kelly

Chris joined FINRA in 2014 as Chief Counsel for FINRA’s North Region until 2018 when he was elevated to the role of Senior Vice President and, later, to the Deputy Head of Enforcement. He served as the Acting Head of Enforcement for FINRA prior to leaving the watchdog in November 2023, where he led a department comprised of more than 350 attorneys, investigators, and support staff. At FINRA, Chris supervised thousands of enforcement investigations and litigations, including those involving Regulation Best Interest, best execution, short-selling, market access, cybersecurity, anti-money laundering violations, systemic supervisory failures, and the supervision of online funding portals and fintech broker-dealers. Click here to view his full biography.

Lisa M. Colone

As Vice President – Enforcement Legal, Lisa led a team of Chief Counsels and more than 100 attorneys in investigating and enforcing violations of FINRA rules and federal securities laws. Lisa previously served FINRA’s Department of Enforcement as Chief Counsel and as Senior Regional Counsel. As Chief Counsel, she led a team of directors and attorneys and supervised more than 350 cases related to fraud, supervision, suitability, and AML violations. Lisa also previously served FINRA’s Department of Enforcement as Chief Counsel and as Senior Regional Counsel. As Chief Counsel, she led a team of directors and attorneys and supervised more than 350 cases related to fraud, supervision, suitability, and anti-money laundering (AML) violations. Lisa oversaw some of the Department’s most significant matters—including FINRA’s largest-ever settlement against a broker-dealer. Click here to view her full biography.

Securities Enforcement Resources 

Delving into their unique and extensive knowledge of the inner workings of FINRA, as well as the other regulatory bodies that govern the financial services industry, Chris and Lisa provide valuable analyses of timely trends, themes, and lessons learned in their recent thought-leadership pieces. 

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