Ari Clinton, Esq.Head of Member Regulation
Ari Clinton is a seasoned securities attorney who brings to CXG over twenty (20) years of experience in securities litigation, regulation, and compliance. She couples her broad legal background with a specific expertise in broker-dealer regulation and legal matters concerning the financial services industry as a whole. As a litigator, Ms. Clinton was senior staff counsel at the U.S. Securities & Exchange Commission (“SEC”), where she investigated numerous high-profile insider trading and market manipulation cases. She is also experienced as defense counsel, holding roles for several large insurance companies and broker dealers. Ms. Clinton is able to help clients navigate the complex issues that can arise with parallel criminal, civil, and administrative proceedings.
At CXG, Ms. Clinton provides regulatory guidance to small and mid-sized broker-dealers, including providing full-service compliance solutions to firms, ranging from acquisition solutions, CMA-1017 guidance to AML, CE plans, data privacy regulations, and FINRA Gateway management.
Prior to joining CXG, Ms. Clinton worked at Merrill Lynch, Bank of America, the SEC, and Debevoise & Plimpton. She is a graduate of Georgetown University where she earned a degree, with honors, in Political Science and English. She holds a J.D., with honors, from the Georgetown University Law Center and was selected to be the Editor-in-Chief of The American Criminal Law Review, the country’s premier criminal law journal, during her time in law school. Ms. Clinton is admitted to practice law in New York and D.C.