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    Eustace Francis, Esq., CAMS

    Schwenksville, Pennsylvania

    Assistant District Attorney

    Manhattan District Attorney's Office

    Experienced Securities Regulatory Compliance and CAMS-Certified Attorney

    CAMS-certified attorney adept at investigating and analyzing broker-dealer policies, procedures, controls and practices for compliance with panoply of SEC, FINRA and other SRO trading, AML, net capital, order-handling, recordkeeping, supervisory and

    Specialties

    Auditing & Compliance

    Investments

    Where I've Worked
    F

    Jan 2010 – Jan 2020

    Senior Counsel

    Financial Industry Regulatory Authority
    N

    Aug 2008 – Jan 2010

    Enforcement Counsel

    Nasdaq Phlx Llc

    Dec 2004 – Jul 2006

    Senior Vice President/Senior Regulatory Counsel

    Citigroup Global Markets, Inc

    Jul 2003 – Dec 2004

    Senior Counsel and Staff Attorney

    Securities & Exchange Commission
    P

    Mar 2001 – Jul 2003

    Enforcement Counsel

    Philadelphia Stock Exchange, Inc
    M

    Assistant District Attorney

    Manhattan District Attorney's Office
    Where I've Studied

    1992

    J.D., Law

    Georgetown Law School

    1987

    BA, Economics

    Baruch College

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    Manhattan District Attorney's Office

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