FTI hires financial regulation experts Jason Sabot and Stephen Glascoe
FTI Consulting has added Jason Sabot, formerly a director at Finra, and Stephen Glascoe, formerly of the SEC, to its financial services practice within its forensic and litigation consulting segment.
Both professionals will work within FTI’s broker-deal regulatory and litigation group, which advises banks and broker-dealers on complex regulatory matters and litigation. Sabot joins as a senior managing director based in New York, while Glascoe joins as a managing director based in Washington, DC.
Sabot brings extensive in-house, government, and regulatory experience, and has led and defended numerous civil and criminal investigations involving federal securities laws. He most recently spent two years as a director at Finra, where he led a team of attorneys in the division of enforcement’s market regulation unit. He supervised investigations involving member broker-dealers for violations of the self-regulatory organization’s rules, as well as federal securities laws and regulations.
Before that, Sabot spent eight years at JPMorgan Chase, where he was associate general counsel and led a team of lawyers in the bank’s litigation/government investigations and regulatory enforcement group. He also previously spent four years as senior managing counsel in the enforcement and investigations unit of BNY Mellon.
Earlier in his career, Sabot spent nine years in the US Attorney’s Office for Southern District of New York, where he tried federal criminal cases in securities fraud, insider trading, and accounting fraud. He began his career at the SEC, where he served as senior counsel in the division of enforcement.
Sabot holds a JD from Hofstra University and a bachelor’s degree from The City University of New York.
Glascoe brings forty years of experience in financial markets, investment banking, and brokerage. He spent the last 21 years at the SEC, where he was a senior market surveillance specialist in the enforcement division and conducted investigations into insider trading and market manipulation. He has conducted numerous investigations involving equity and option trading activities, trade reporting issues, audit trail interpretation, and trail exhibit development.
Prior to the SEC, Glascoe was a capital markets compliance officer at Deutsche Bank, Alex. Brown Inc. Earlier in his career, he was an investigator in the market surveillance division of Finra predecessor NASD.
Glascoe holds a BS in business from Hampton University.
“Jason and Stephen are experienced decision makers with exceptional analytical and problem-solving skills that will benefit financial services firms as they address complex regulatory and operational challenges,” said Anthony Italiano , co-head of the broker-dealer regulatory & litigation group at FTI Consulting. “It is my pleasure to welcome them both to the firm, as they will further enhance our ability to help clients respond to regulatory examination and enforcement actions while meeting their business objectives.”
FTI Consulting is based in Washington, DC, and has approximately 6,400 employees in 29 countries. The firm advises organizations on change, risk, and disputes.
The firm earlier this year added Jason Shafrin and Miriam Wrobel as senior managing directors.
https://www.consulting.us/news/5630/fti-consulting-adds-jason-shafrin-and-miriam-wrobel
