Manuel Yanez
About Manuel Yanez
Manuel Yanez serves as Senior Counsel in the Department of Enforcement at FINRA, where he manages investigations into securities law violations. He holds a B.A. in International Relations and a J.D. from the University of Pennsylvania and has a background in legal practice at several prestigious law firms.
Current Role at FINRA
Manuel Yanez serves as Senior Counsel in the Department of Enforcement at FINRA. He has held this position since 2018, working in Rockville, Maryland. In this role, he manages business staff involved in complex investigations of securities law violations, including market manipulation and trading regulations. He conducts settlement discussions with respondents and their attorneys in cases of securities law violations. His responsibilities also include drafting memoranda that summarize examinations and investigative results to assess the legal sufficiency of suspected violations.
Previous Experience in Securities Law
Prior to his current role, Manuel Yanez worked at FINRA in various capacities. He served as Principal Counsel in the Department of Market Regulation - Legal from 2012 to 2015 and as Senior Counsel in the same department from 2015 to 2018. His experience includes working at Milbank LLP as an Associate from 2001 to 2008 and at McGuireWoods LLP as an Associate from 2008 to 2009. He also held the position of Director at Strategic Legal Solutions from 2010 to 2012.
Education and Legal Qualifications
Manuel Yanez earned his Juris Doctor (J.D.) from the University of Pennsylvania Carey Law School, where he studied law from 1998 to 2001. He also holds a Bachelor of Arts (B.A.) in International Relations and Diplomatic History from the University of Pennsylvania, which he completed from 1992 to 1996. His educational background provides a strong foundation for his work in securities law and enforcement.
Expertise in Securities Law Violations
Manuel Yanez possesses extensive experience in conducting investigatory depositions related to securities law violations. He has successfully participated in hearings that led to bars and suspensions from the securities industry. His expertise includes managing complex investigations and understanding the intricacies of trading regulations and market manipulation.