Broker-Dealer/Investment Advisory Defense
Securities Arbitration and Litigatiom
Lewis & Clark Law School, JD
University of Oregon, BA
Stephanie Palomino is an associate at TT&E and practices out of our Portland office. Stephanie’s practice is focused on securities and investment-related litigation and arbitration.
Stephanie brings years of securities industry experience to TT&E. She obtained her Series 7 and Series 66 securities registrations in 2015 while at Merrill Lynch. She later spent several years at M Financial Group, where she conducted regulatory compliance for an independent dual registrant firm. She has experience responding to regulatory inquiries and exams from the SEC, FINRA, and various state regulators. She also has experience with developing and implementing compliance policies and procedures based on the ever-evolving securities regulatory framework. While at M Financial Group, Stephanie also managed the firm’s E&O policy and all policy claims. She is experienced with working closely with E&O carriers, policy underwriters, and policy brokers. After leaving M Financial Group, Stephanie joined the SEC’s Division of Enforcement, where she completed a Law Student Honors Internship.
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