Jason Sabot has over 20 years of experience advising financial services firms including broker-dealers and consumer banks on complex regulatory matters and litigation. He is a member of FTI Consulting’s Financial Services practice in the Broker-Dealer Regulatory, Litigation and Advisory group. Mr. Sabot has advised financial services firms on the reputational, regulatory, and litigation risks arising from internal investigations and regulatory inquiries. In so doing, he has effectively partnered with senior management, compliance, risk, corporate communications, human resources, and corporate security. Mr. Sabot is skilled in supervising and managing significant investigations and enforcement proceedings, including securities regulation, broker-dealer, and banking matters. Key areas of expertise include significant regulatory enforcement inquiries and government investigations, as well as criminal and civil litigation matters, and complex internal investigations, including whistleblower allegations, and compliance and risk matters.
Mr. Sabot previously served as a Director at the Financial Industry Regulatory Authority (FINRA), where he led a team of lawyers within the Division of Enforcement’s Market Regulation group. In this role, he supervised investigations involving member broker-dealer firms and registered representatives for violations of FINRA/SRO rules and federal securities laws and regulations.
Mr. Sabot previously served for more than a decade as in-house counsel at two global financial institutions – JPMorgan Chase and BNY Mellon – where he was responsible for supervising and conducting internal investigations and responding to significant government investigations and inquiries by the U.S. Department of Justice, U.S. Securities and Exchange Commission (SEC), FINRA, Office of the Comptroller of the Currency, the Federal Reserve, and the Consumer Financial Protection Bureau (CFPB).
Mr. Sabot also served for more than a decade in the United States Attorney’s Office for the Southern District of New York (SDNY) and the Enforcement Division of the SEC in its New York office. At the SDNY, as an Assistant U.S. Attorney, Mr. Sabot tried 10 federal criminal cases to verdict before juries. These trials involved, among other things, securities fraud, insider trading, and accounting fraud. During his tenure in government, he received the Attorney General’s Distinguished Service award in connection with a “Mob on Wall Street” prosecution of more than 20 high-level members and associates of organized crime families who sought to manipulate the securities market.
Mr. Sabot holds a law degree from Hofstra University School of Law and a B.A. degree from Queens College (CUNY). He is a member of the New York State Bar Association.