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James S. Wrona

James S. Wrona

FINRA
Vice President and Associate General Counsel
Washington, DC, USA


James S. Wrona is Vice President and Associate General Counsel for the Financial Industry Regulatory Authority (FINRA) in Washington, DC. In this role, he assists with policy initiatives, rule changes and litigation regarding the securities industry. Mr. Wrona formerly was associated with the law firm of K&L Gates LLP, where his practice focused on complex federal litigation. He also previously served as a federal law clerk for the Honorable A. Andrew Hauk of the United States District Court for the Central District of California (Los Angeles). Mr. Wrona is a frequent speaker at securities and litigation conferences and author of numerous law review articles, including The Best of Both Worlds: A Fact-Based Analysis of the Legal Obligations of Investment Advisers and Broker-Dealers and a Framework for Enhanced Investor Protection, 68 BUS. LAW. (forthcoming Nov. 2012); The Securities Industry and the Internet: A Suitable Match?, 2001 COLUM. BUS. L. REV. 601 (2001).
James S. Wrona is associated with the following items:
Audio CD  Audio CD Broker-Dealer and Adviser Regulatory Compliance Forum 2012 , Wednesday, March 21, 2012 , New York, NY
DVD Video  DVD Video Broker-Dealer and Adviser Regulatory Compliance Forum 2012 , Wednesday, April 04, 2012 , New York, NY
CHB Chapters  CHB Chapters Citations to Publications Regarding Suitability and Related Topics - Understanding Financial Products 2013 , Monday, January 07, 2013
Outline: New FINRA Suitability and "Know Your Customer" Rules - Understanding Financial Products 2013 , Monday, January 07, 2013
Web Segment  Web Segment Ethical Challenges and Other Hot Topics in Financial Products - Understanding Financial Products 2013 , Monday, January 14, 2013
MP3 Audio  MP3 Audio Understanding Financial Products 2013: Ethical Challenges and Other Hot Topics in Financial Products - Ethical Challenges and Other Hot Topics in Financial Products , Monday, January 14, 2013
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Understanding Financial Products 2013: Ethical Challenges and Other Hot Topics in Financial Products - Ethical Challenges and Other Hot Topics in Financial Products , Monday, January 14, 2013
On-Demand Web Programs  On-Demand Web Programs Understanding Financial Products 2013 , Tuesday, January 22, 2013 , New York, NY
LiveSeminar  Live Seminar Understanding Financial Products 2013 , Monday, January 07, 2013 , New York, NY
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