With more than 14 years of financial industry experience, involving securities litigation and regulation, Ms. Mason provides expert testimony and analysis as well as consulting services concerning securities trading and markets, customary practice, regulatory compliance, and risk management.
Given her 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. Ms. Mason also provides consulting support across the entire lifecycle of securities investigations and litigation matters, including initial case evaluation, discovery, risk assessments, expert reports and testimony, and damages analysis.
Ms. Mason’s professional experience includes, among other things, presenting multifaceted securities cases before arbitration panels and regulatory bodies, determinations of compliance and causation, rule interpretation, trading analysis, and risk assessment.
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 and SEC regulatory requirements. Ms. Mason was also a certified FINRA dispute resolution arbitrator for over 10 years. She spent several years as senior in-house legal counsel for a large broker-dealer, where she handled complex legal and compliance matters, including matters that involved auction rate securities, market manipulation, margin requirements, supervisory systems, and suitability obligations.
Ms. Mason holds a JD from Creighton University School of Law.