Craig Vollono is one of TT&E’s partners and practices out of our New York office. Craig focuses his practice on securities litigation and securities regulation.
Craig has substantial experience in securities and investment-related matters. He has represented broker-dealers, registered representatives, and investment advisors in arbitration throughout the United States. Craig also has experience in regulatory actions before FINRA Department of Enforcement, the Securities and Exchange Commission, and other federal and state regulatory agencies.
Craig brings a unique perspective to TT&E after having spent his entire career as in-house counsel at independent and wirehouse financial services firms. Prior to joining TT&E, he was the Chief Legal Officer, Executive Vice President and member of the Board of Directors for American Portfolios, a mid-sized independent broker-dealer and RIA based out of New York. In this role, Craig also had oversight over the firm’s compliance and supervision departments, and product due diligence. He also had in-house attorney roles at UBS Financial Services, Advisor Group (now known as Osaic), and Merrill Lynch.
Representative Cases
- Represented national broker-dealer in FINRA and SEC enforcement proceedings involving alleged supervisory failures and sales practice violations, resulting in favorable settlements with minimal sanctions.
- Managed customer arbitrations before FINRA involving claims of unsuitable recommendations, excessive trading, and breach of fiduciary duty; negotiated settlements minimizing exposure.
- Oversaw offensive recovery docket concerning collection of outstanding promissory notes resulting in collections of millions of dollars
- Directed internal and external counsel response to SEC subpoenas and Wells notices
- Designed and implemented comprehensive firm policy updates and response to major rulemakings, including Regulation Best Interest