An attorney with more than 15 years of experience in the financial industry, Ms. Mason provides expert testimony and consulting services concerning securities litigation and enforcement matters.

With a deep knowledge of Financial Industry Regulatory Authority (FINRA) and Securities & Exchange Commission (SEC) rules, Ms. Mason has several areas of expertise, including suitability, equity and options market manipulation, senior investors, financial advisor and domestic broker-dealer supervision, written supervisory policies and procedures, regulatory disclosures, direct market access (SEC 15c3-5), anti-money laundering (FINRA 3310), and books and records requirements.

Given her prior experience handling regulatory investigations and enforcement matters and presenting securities cases before arbitration panels and regulatory bodies, Ms. Mason also provides consulting support across the entire lifecycle of securities investigations and litigation matters. This includes initial case evaluation, discovery, risk assessments, expert reports and testimony, and damages analysis.

Prior to joining Brattle, Ms. Mason served as Senior Enforcement Counsel at FINRA, where she was responsible for ensuring that its members complied with FINRA, SEC, and Exchange rules and regulations. Ms. Mason was also a certified FINRA dispute resolution arbitrator for over ten years. She spent several years as in-house counsel for a large broker-dealer, where she handled complex litigation and compliance matters, including those involving auction rate securities, market manipulation, margin requirements, supervisory systems, and suitability obligations.

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