FacultyFaculty/Author Profile
James S. Shorris

James S. Shorris

LPL Financial, LLC
Executive Vice President and Deputy General Counsel, Regulatory Affairs
Boston, MA, USA

James Shorris is executive vice president and deputy general counsel for regulatory affair and serves as a member of the management teams of the Legal and the Governance, Risk, and Compliance (GRC) groups at LPL Financial. He is responsible for managing the firm’s interactions with federal, state, and SRO regulators; developing the firm’s strategy for responding to new regulatory rules; evaluating GRC’s supervisory policies, practices, and related business processes; and assisting with government relations strategy and efforts in Washington, D.C.

With more than 25 years of legal and financial services experience, Mr. Shorris joined LPL Financial in 2011 from FINRA, where he served in leadership positions for seven years, most recently as EVP and executive director of enforcement. In this role, he was responsible for the day-to-day operational management of the Enforcement Department, supervising cases involving mutual fund sales and distribution practices, variable annuity suitability, fixed income pricing, and anti-money-laundering failures. He also developed and implemented enforcement policy, supervised regional and home office investigative and litigation functions, coordinated with the SEC and other regulators, responded to congressional and Government Accountability Office inquiries, and represented FINRA before the press, industry, and public.

Earlier in his career, Mr. Shorris served in senior legal and compliance roles with brokerages Allmerica Financial Corporation and Tucker Anthony Incorporated. He was also a member of the securities regulatory practices with law firms Morgan, Lewis & Bockius; Choate, Hall & Stewart; and Bingham McCutchen. He began his career as an assistant district attorney in the Manhattan District Attorney’s Office.

Mr. Shorris holds a Juris Doctorate from Case Western Reserve University School of Law and a Bachelor of Arts earned cum laude in political science from Macalester College in St. Paul, MN. He is FINRA Series 7 and 24 registered through LPL Financial and is a member of the bar in Massachusetts, New York, and Washington, D.C.


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