FacultyFaculty/Author Profile

Caroline K. Hall

Raymond James Financial
Associate General Counsel
St Petersburg, FL, USA


Caroline Hall is a Senior Vice President and Associate General Counsel of Raymond James Financial.  In her role, she heads the Regulatory Enforcement and Investigations unit in the Firm’s law department.  Ms. Hall and her team represent Raymond James and its subsidiaries and employees in enforcement and pre-enforcement matters.  The group also conducts internal investigations for the Firm working closely with compliance and the AML teams to help the Firm in its risk mitigation efforts. Prior to joining Raymond James, Ms. Hall worked at UBS for 10 years as an in house lawyer and spent 10 years in private practice representing a variety of financial institutions in litigation and regulatory matters. Ms. Hall has practiced before the Federal Reserve, the  SEC, the CFTC, FINRA and many of the State Regulators. Ms. Hall has been a speaker at a variety of industry conferences speaking on topics related to enforcement matters pursued by the State, Federal and SRO regulators. Ms. Hall graduated from Hofstra University School of law with Honors and Vanderbilt University with a BA in Political Science and Psychology.
Caroline K. Hall is associated with the following items:
Web Segment  Web Segment The Broker-Dealer Customer Relationship - Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 18, 2017
MP3 Audio  MP3 Audio The Broker-Dealer Customer Relationship - The Broker-Dealer Customer Relationship, Tuesday, July 18, 2017
Transcripts  Transcripts The Broker-Dealer Customer Relationship - The Broker-Dealer Customer Relationship, Tuesday, July 18, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg The Broker-Dealer Customer Relationship - The Broker-Dealer Customer Relationship, Tuesday, July 18, 2017
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2017, Tuesday, July 25, 2017, New York, NY
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