FacultyFaculty/Author Profile
Joaquin M. Sena

Joaquin M. Sena

Bank of America
Deputy General Counsel
Legal Exec-Regulatory Inquiries & LATAM Liquidating
New York, NY, USA


Jack leads Bank of America's Regulatory Inquiries and Internal Investigations Group, which responds to regulatory inquiries that potentially present significant reputational, financial or legal risk and investigates employee misconduct.

Prior to joining Bank of America, he served in the Securities and Exchange Commission's Division of Enforcement for twelve years, including three years as a trial lawyer and nine years as an investigative attorney. While at the SEC, he served as lead trial, litigation and investigative counsel in complex international cases, including a multi-billion dollar accounting fraud, and cases concerning insider trading, market manipulation, boiler rooms, unregistered offerings and false filings and disclosures.

While employed by the SEC, he also served for six-months as a Special Assistant United States Attorney in the Eastern District of Virginia, where he handled various criminal matters.

Prior to joining the SEC, Jack spent four years at a law firm practicing antitrust law, which was preceded by three years at the Federal Trade Commission's Bureau of Competition.

Education:

University of Pennsylvania, J.D.

Brown University, A.B. Economics and Psychology

Joaquin M. Sena is associated with the following items:
Web Segment  Web Segment In-House Broker/Dealer Lawyer Roundtable - Broker/Dealer Regulation and Enforcement 2017, Tuesday, October 17, 2017
MP3 Audio  MP3 Audio In-House Broker/Dealer Lawyer Roundtable - In-House Broker/Dealer Lawyer Roundtable, Tuesday, October 17, 2017
Transcripts  Transcripts In-House Broker/Dealer Lawyer Roundtable - In-House Broker/Dealer Lawyer Roundtable, Tuesday, October 17, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg In-House Broker/Dealer Lawyer Roundtable - In-House Broker/Dealer Lawyer Roundtable, Tuesday, October 17, 2017
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2017, Wednesday, October 18, 2017, New York, NY
Live Seminar  Live Seminar Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, New York, NY
Live Webcast  Live Webcast Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, Atlanta, GA
Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, Philadelphia, PA
Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, New Brunswick , NJ
Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, Mechanicsburg, PA
Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, Pittsburgh, PA
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