FacultyFaculty/Author Profile

Stephen Luparello

Citadel Securities
General Counsel
New York, NY, USA


Stephen Luparello joined Citadel in 2017, where he serves as Managing Director and General Counsel for Citadel Securities based in New York City.

Prior to joining Citadel, Luparello was the Director of the SEC’s Division of Trading & Markets. Before returning to the SEC, he was a partner at WilmerHale, specializing in broker-dealer compliance and regulation, securities litigation, and enforcement. Luparello joined WilmerHale after 16 years at the Financial Industry Regulatory Authority (FINRA) and its predecessor, the National Association of Securities Dealers (NASD) where he most recently served as Vice Chairman of FINRA. As FINRA's Vice Chairman, he was responsible for its examination, enforcement, market regulation, international, and disclosure programs. From 1994 to 1996, Luparello served as Chief of Staff to then-CFTC Chairman Mary Schapiro. Prior to that, he worked at the SEC, in the Division of Market Regulation, now the Division of Trading and Markets.

Luparello received his law degree from Washington & Lee University. He received his B.A. from LeMoyne College.

Stephen Luparello is associated with the following items:
CHB Chapters  CHB Chapters Examinations and Rulemaking Developments: 2018 Broker/Dealer Regulatory Update - Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018
Web Segment  Web Segment Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Broker/Dealer Regulation and Enforcement 2018, Wednesday, October 17, 2018
MP3 Audio  MP3 Audio Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Wednesday, October 17, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update - Examinations and Rulemaking Developments: Broker/Dealer Regulatory Update, Wednesday, October 17, 2018
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 23, 2018, New York, NY
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