Hollie Mason has more than 20 years of financial industry experience, involving securities litigation and regulation, and provides expert testimony and analysis as well as consulting services concerning securities trading and markets, industry custom and practice, regulatory compliance, and risk management.

Given her prior market regulation enforcement experience and deep knowledge of securities industry rules and regulations, Ms. Mason has several areas of expertise including industry standards of care, risk management, financial advisor and domestic broker-dealer compliance obligations, supervisory processes and procedures, regulatory disclosures, and risk management.

Ms. Mason’s professional experience includes, among other things, presenting multifaceted securities cases before arbitration panels, courts and regulatory bodies, determinations of compliance and causation, rule interpretation and enforcement, trading investigations and risk assessment.

Prior to her consulting and expert work, Ms. Mason served as senior enforcement counsel at FINRA, where she was responsible for ensuring that its members complied with FINRA, MSRB, Exchange and SEC regulatory requirements. Ms. Mason was also a certified FINRA dispute resolution arbitrator for over 10 years and spent several years as senior in-house legal counsel for a large broker- dealer, where she handled complex legal and investigative matters, including those involving fiduciary obligations, short selling, best execution, market manipulation, margin requirements, fraud, record keeping and supervisory systems.