Stephen (Steffan) Littman
About Stephen (Steffan) Littman
Stephen Littman is a Case Manager specializing in investigations at FINRA, where he has worked since 2019. He has extensive experience in financial investigations, risk management, and trial preparation, with a background that includes roles as an enforcement investigator and investment consultant.
Current Role at FINRA
Stephen Littman currently serves as a Case Manager in Investigations at the Financial Industry Regulatory Authority (FINRA). He has held this position since 2019, contributing to the oversight and enforcement of regulations within the financial sector. His responsibilities include managing investigations related to financial misconduct and ensuring compliance with industry standards.
Previous Experience at FINRA
Littman has extensive experience at FINRA, having worked in various roles since 2011. He began as a Regulatory Analyst III, where he spent three years analyzing compliance issues. He then advanced to the position of Associate Principal Enforcement Investigator from 2014 to 2016, followed by three years as Principal Enforcement Investigator from 2016 to 2019. His roles involved investigating complex financial cases and enforcing regulatory compliance.
Experience in Financial Services
Before his tenure at FINRA, Littman worked at TD Ameritrade as an Investment Consultant for six months in 2011. He also served as a Floor Broker at Amerivest Partners from 1999 to 2000. These positions provided him with a solid foundation in financial services and investment strategies.
Skills and Expertise
Littman possesses a range of skills pertinent to financial investigations. He is skilled in interviewing and questioning techniques, trial preparation, and settlement negotiations. His expertise extends to risk management, anti-money laundering, and investigative document review. He is proficient in identifying issues within the financial sector and handling complex investment products and securities fraud schemes.