Junior Associate Attorney

Alex Jean-Baptiste ** Helen Road Branford, CT

***************@*****.*** 786-***-****

Legal Work Experience

Member Regulation Extern

FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) – New York, NY

September 2014 – Present

• Uses FINRA and other available systems to collect trading and other data to be used in preliminary

reviews and investigations. This includes the use of CRD, Member Regulation systems, Bloomberg and

the Internet among others.

• Assists investigative staff to investigate and initiate enforcement actions against FINRA regulated firms

and associated individuals

• Performs research, writing and analysis as part of preliminary and formal investigations being conducted

by FINRA for customer-initiated sales practice complaints, market manipulation, insider trading,

member firm financial operations and trading violations.

• Prepares for investigative testimony and observe on-the-record interviews

Member Regulation Intern

FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) – Boca Raton, FL

May 2014 – August 2014

• Reviewed, analyzed, and compared documents and information on firm finances, policies, procedures,

practices, and products to security industry rules, regulations and guidelines

• Collected, prepared and itemized exhibits for reports of investigations, and drafted memoranda and

reports regarding investigations

• Collected historical pricing data utilizing market trade data and helped prepare FINRA’s examination

• Participated in conferences and interviews with attorneys and examiners

Law Clerk

THE LAW OFFICES OF NEAL GUTTENBERG – Branford, CT

July 2013 – January 2014, March 2014 – May 2014

• Helped clients navigate the Social Security Administration's (SSA) hearing and appeals process

• Drafted legal Memoranda for federal appeals and requested for production of medical documents

• Conducted intake interviews of prospective clients and attended trustee meeting with Bankruptcy

clients

• Advised clients on a broad array of family and business immigration issues

Employment Law Researcher

THE LAW OFFICES OF FRANCIS D’URSO – Branford, CT

January 2014 – March 2014

• Researched and drafted legal memoranda in the area of Employment Law

• Drafted motions opposing summary judgment in EEO Regulatory Compliance cases

Research Assistant, Prof. Marilyn Ford

QUINNIPIAC UNIVERSITY SCHOOL OF LAW – Hamden, CT

October 2013 – February 2014

• Drafted a Memorandum of law on Rule 506 of Regulation D Exemption to the registration requirements

of Section 5 of the Securities Act of 1933

• Proposed necessary modification for the Connecticut Uniform Securities Act

Alex Jean-Baptiste Page 2

Legal Intern

INTERNATIONAL INSTITUTE OF CONNECTICUT – Bridgeport, CT

March 2013 – July 2013

• Conducted legal research, and prepared memoranda and motions on political asylum, removal

proceedings, naturalization, and human trafficking and cases of torture

• Observed and assisted immigration attorneys in deportation and removal proceedings cases

• Performed visa processing, adjustment of status and permanent residence

• Assisted attorney and clients in family based immigration petition

Education

Doctorate of Jurisprudence Quinnipiac University School of Law North Haven, CT 2015

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Bachelor of Arts in Criminal Justice Florida International University Miami, FL 2011

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Bachelor of Arts & Science in Political Science Florida International University Miami, FL 2011

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Minor in International Relations Florida International University Miami, FL 2011

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Certificate in Latin American Studies Florida International University Miami, FL 2011

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Personal

Alpha Kappa Psi Xi Sigma Chapter 2009 – 2011

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Black Law Student Association 2012 – Present

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Sport Law Society 2012 – Present

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Criminal Justice Law Society 2012 – Present

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