Stephen Glascoe is a member of the Broker-Dealer Regulatory group in the Financial Services practice. He joined FTI Consulting after 21 years of investigations experience with the U.S. Securities and Exchange Commission (SEC).
Mr. Glascoe has extensive experience conducting and managing complex investigations and regulatory inquiries while providing trial testimonies relative to specific market activities. His experience includes insider trading and market manipulation investigations, while also serving as a liaison with the Market Regulation and Enforcement Divisions of the Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations. His experiences include matters driven by the SEC, FINRA, New York Stock Exchange (NYSE), Chicago Board Options Exchange (CBOE) and others.
Mr. Glascoe received multiple awards for his work on insider trading and market manipulation investigations as a Senior Market Surveillance Specialist in the SEC’s Division of Enforcement. He has conducted numerous investigations involving equity/option trading activities and relative electronic bluesheeting, trade reporting issues, audit trail interpretation and trial exhibit development.
In addition to government service at the SEC, Mr. Glascoe served as a Capital Markets Compliance Officer for Deutsche Bank, Alex. Brown, Inc. in the areas of OTC/Listed trading, equity research and investment banking. Additionally, as an Investigator in the Market Surveillance Division of FINRA, he similarly conducted insider trading and market manipulation investigations involving NASDAQ/OTC securities.
Mr. Glascoe holds a bachelor of science degree in business/marketing from Hampton University.