FacultyFaculty/Author Profile

Joy A. Weber

UBS Wealth Management Americas, Inc.
Deputy General Counsel
Weehawken, NJ, USA

Joy Weber is currently an Executive Director, Deputy General Counsel at UBS Financial Services, Inc. where she heads the Firm’s Regulatory Group.  In that capacity, she manages a team of attorneys and analysts who handles the Firm’s regulatory caseload by responding to regulatory inquiries and enforcement matters including those from the SEC, Finra, and the states, among others.

Joy is also head of the Firm’s Regulatory Reporting Group and Subpoena Levies and Garnishments Group.

Prior to joining UBS almost a decade ago, Joy spent 18 years at the NYSE Division of Enforcement.  When she left the NYSE, Joy was a Vice President who reported to the Chief of Enforcement.  At the NYSE, Joy managed a group of attorneys, paralegals and other professionals who investigated and prosecuted cases involving violations of NYSE rules and the federal securities laws.

Joy has also been an Adjunct Professor of Law at her alma mater Brooklyn Law School for 14 years where she teaches a class on Securities and Market Regulation.


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