FacultyFaculty/Author Profile

Lara C. Thyagarajan

FINRA
Chief Counsel - New York Region
New York, NY, USA


LARA THYAGARAJAN is the Regional Chief Counsel for the New York Region in the Department of Enforcement at the Financial Industry Regulatory Authority. Ms. Thyagarajan joined FINRA's predecessor, NASD, in 2006. In her current role, Ms. Thyagarajan leads a team of lawyers and investigators responsible for investigating potential violations of FINRA rules and federal securities laws by New York based brokerage firms and their associated persons. Ms. Thyagarajan oversees the initiation disciplinary actions arising from misconduct identified in Enforcement investigations and through examinations conducted by FINRA's Department of Member Regulation in New York. Prior to joining FINRA, Ms. Thyagarajan was a partner in the securities enforcement defense practice of a Boston law firm where she focused on the defense of investment advisors and broker-dealers primarily in SEC investigations and hearings. Ms. Thyagarajan graduated from Boston College Law School and is a member of the bar in New York and Massachusetts. She received her B.A. from Boston University.
Lara C. Thyagarajan is associated with the following items:
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Hot Button Enforcement Issues for Private Funds - Hot Button Enforcement Issues for Private Funds, Tuesday, December 05, 2017
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