Anthony Italiano is Co-Head with Christopher Chatfield of the Broker-Dealer Regulatory Governance and Disputes practice, in which he works with broker-dealers and consumer banks to assist in complex regulatory matters and litigation. Mr. Italiano has over 19 years of experience in the financial services industry within various roles within compliance, operations, and legal, covering regulatory investigations, cash equity and portfolio trading desks in addition to institutional branch examinations and trading surveillance.
Mr. Italiano has extensive experience in managing complex investigations and regulatory inquiries. His specific expertise includes insider trading; equity, derivatives and fixed income sales and trading; electronic trading; alternative trading systems; non-financial regulatory reporting; retail sales practices; and remediation plans; among others
Mr. Italiano joins FTI Consulting from Ernst & Young, where he managed complex investigations involving the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Department of Justice and other financial regulators across broker-dealer institutional sales and trading organizations, as well as the Wealth and Asset Management and Consumer Banking divisions.
Prior to that, Mr. Italiano was a Senior Vice President in Bank of America Merrill Lynch’s Regulatory Investigations Group, where he was responsible for responding to regulatory and governmental inquiries that posed significant legal, economic or reputational risk to the company. His extensive background in regulatory and compliance includes trading and sales, branch examinations, surveillance, supervisory policy making, forensic documentation, e discovery and expertise in securities, banking and investment advisor regulations.
Mr. Italiano holds a B.S. degree from University of Phoenix. He is also a member of the Association of Certified Fraud Examiners and has held FINRA Series 7, 24, 55, 63 certifications.