Gerald Sawczyn
About Gerald Sawczyn
Gerald Sawczyn serves as the Director of the Department of Enforcement at FINRA, a position he has held since 2023. He has extensive legal experience, having previously worked as Senior Counsel at FINRA and as an attorney at Proskauer Rose LLP.
Work at FINRA
Gerald Sawczyn has been serving as the Director of the Department of Enforcement at FINRA since 2023. In this role, he oversees regulatory enforcement actions and ensures compliance within the financial industry. Prior to this position, he worked as Senior Counsel in the same department from 2014 to 2023. His extensive experience at FINRA has equipped him with a deep understanding of enforcement processes and regulatory frameworks.
Education and Expertise
Gerald Sawczyn earned his Doctor of Law (J.D.) degree from Georgetown University Law Center, where he graduated cum laude. His legal education has provided him with a strong foundation in law, particularly in areas relevant to financial regulation and enforcement. This academic background supports his expertise in navigating complex legal issues within the financial services sector.
Background
Before joining FINRA, Gerald Sawczyn worked as an Attorney at Proskauer Rose LLP from 2003 to 2014. During his 11 years at the firm, he gained significant experience in legal practice, focusing on areas pertinent to financial law and compliance. His background in a prominent law firm complements his regulatory work at FINRA.
Professional Experience
Gerald Sawczyn has accumulated over 20 years of professional experience in the legal and regulatory fields. His tenure at FINRA and Proskauer Rose LLP has allowed him to develop a comprehensive understanding of enforcement mechanisms and the legal landscape governing financial institutions. His roles have involved significant responsibilities in legal counsel and regulatory enforcement.