Hollie Mason

Hollie Mason has extensive experience in the financial services industry, including presenting multifaceted securities cases before arbitration panels, courts, and regulatory bodies; determining compliance and causation; engaging in rulemaking, interpretation, and enforcement; conducting regulatory investigations; and managing regulatory risks.

Given her extensive regulatory expertise, Hollie assists market participants, industry regulators, and in-house and outside counsel in complex securities cases, serving as an expert witness and consulting on matters concerning fraud, market execution and manipulation, standards of care and conduct, risk management, brokerage compliance, supervisory and operational systems, record keeping, training, and disclosure obligations, among others.

Prior to her consulting and expert work, she served as senior enforcement counsel at FINRA, where she ensured that its members complied with FINRA, MSRB, Exchange, and SEC regulatory requirements. Hollie was also a certified FINRA dispute resolution arbitrator for over 10 years and spent several years as in-house legal counsel for large financial institutions, where she handled complex litigation and regulatory matters concerning their brokerage, clearing, and investment advisor activities.