Christopher J. Pagnanelli
About Christopher J. Pagnanelli
Christopher J. Pagnanelli serves as a Principal Examiner at FINRA, where he has worked since 2000. He specializes in regulatory responsibilities, collaborates with enforcement attorneys, and provides detailed reports on compliance issues.
Work at FINRA
Christopher J. Pagnanelli has served as a Principal Examiner at FINRA since 2000, accumulating 24 years of experience in this role. Based in Boca Raton, Florida, he participates in special projects that involve complex regulatory responsibilities. His work includes collaborating with enforcement attorneys to develop formal disciplinary actions and providing testimony at administrative hearings. Pagnanelli's role is integral to maintaining regulatory compliance within the financial industry.
Education and Expertise
Christopher J. Pagnanelli earned a Bachelor of Science (BS) degree in Finance from Siena College, where he studied from 1992 to 1996. Additionally, he pursued further education at Hofstra University, focusing on Accounting and Finance, and obtained an Accounting Certification. His educational background equips him with a strong foundation in finance and regulatory compliance, essential for his role at FINRA.
Regulatory Responsibilities
In his capacity as Principal Examiner, Christopher J. Pagnanelli provides comprehensive written and verbal reports to broker-dealer executives and FINRA management. These reports address regulatory concerns identified during examinations. He conducts on-the-record interviews, informal interviews, and depositions of customers and member firm personnel as part of enforcement actions. His work is crucial in developing evidence and analysis to support enforcement actions, ensuring adherence to federal and FINRA rules and regulations.