Investigator, FINRA

Gabriella G. Giannini

**** ***** ******* ****** *** 124 Arlington, VA 22201 (941) 330 - 7498 *********.*.********@*****.*** EXPERIENCE

Financial Industry Regulatory Authority, Rockville, MD, November 2019 – Present, Associate Investigator, Office of the Whistleblower

• Managed a caseload of seven to ten active fraudulent investigations as the primary investigator.

• Performed over 100 comprehensive reviews of potentially fraudulent schemes and other misconduct including, registered representatives participating in unauthorized outside business activities and private securities transactions; non-registered individuals and entities conducting securities business; CRD disclosure issues for registered representatives; compensation disputes; potential advertising violations; and issuer fraud.

• Collaborated with FINRA Enforcement staff to prepare for on-the-record testimony of a high-risk broker by conducting an enforcement investigation, making recommendations for enforcement action, preparing six document and information requests under FINRA Rule 8210, drafting testimony outlines, and preparing corresponding exhibits for FINRA Enforcement.

• Worked independently to compile and organize information from a variety of sources used in the development of investigations, presented investigatory findings to management in the form of written and oral summaries, and completed three written referrals to the SEC, CFTC, and state securities regulator – topics included a forex and cryptocurrency fee scheme, potential Section 5 violations with an unregistered offering, and unregistered broker-dealer misappropriating investor funds.

• Conducted weekly telephone interviews of registered and associated persons, investors, and tipsters, including answering the Office of the Whistleblower hotline, to gather relevant information and develop a sufficient investigative record.

• Improved procedures by developing a strategic resolution to enhance investigations through the use of a digitized preliminary review form, creating a searchable repository of investigative findings used to discover and analyze potential linkages for past, existing, and future matters.

U.S. Securities and Exchange Commission, Washington, D.C., February 2019 – April 2019, Honors Program Intern, Division of Enforcement

• Assisted staff on insider trading investigations by cross-referencing blue sheet trade data with key events, phone calls, and other communications to identify potential criminal activity.

• Prepared spreadsheets, charts, and a chronology connecting and illustrating suspicious trades placed by numerous parties across a multitude of accounts.

• Researched and drafted legal memoranda concerning potential insider trading and corporate accounting violations of the federal securities laws.

4C Capital Group LLP, Arlington, Virginia, May 2018 – August 2018, Legal Intern, General Counsel’s Office

• Assisted with drafting and reviewing real estate investment contracts used by the firm in the purchase and disposition of commercial and residential properties.

• Researched and prepared legal memoranda concerning securitized real estate portfolios and certain state law implications when the underlying assets span multiple jurisdictions. DeCaro, Doran, Siciliano, Gallagher & DeBlasis LLP, Bowie, Maryland, May 2017 – August 2017, Law Clerk

• Prepared for five depositions by reviewing transcripts, pulling transcript excerpts, drafting testimony outlines, identifying key documents, preparing exhibits, and conducting legal research.

• Researched and prepared motions (Summary Judgment, Motion to Continue, Amended Jury Instructions, and Motion to Dismiss).

EDUCATION

The Catholic University of America, Columbus School of Law, Juris Doctor & Securities Law Certificate, Washington, D.C. (May 2019)

• Securities Certificate Program GPA: 3.70

• Securities Coursework: Issuance: The Securities Act of 1933; Corporations; Securities Civil Litigation, Trading: The Securities Exchange Act of 1934; Enforcement Procedures; Securities Market Regulation, Securities Compliance

• National Securities Moot Court Team, Irving R. Kaufman Securities Moot Court Competition University of Central Florida, Bachelor of Science in Finance with Minors in Legal Studies and Psychology, Orlando, FL (May 2015)

• GPA: 3.63; 11th Percentile; Bright Futures Medallion Scholarship Winner Active Member of the Washington, D.C. Bar (January 2020) Active Member of the Florida Bar (December 2020)

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