James Shorris, who for more than 7 years has been a leader in FINRA's Enforcement Department, will leave the SRO in April to return to the private sector.  Mr. Shorris has been responsible for directing the investigation and prosecution of disciplinary actions at the national and district levels.

Shorris joined NASD in 2003 as Deputy Chief of Enforcement and became Chief of Enforcement in 2006. He became Executive Director of Enforcement when NASD and NYSE-Reg merged to form FINRA in July 2007. 

Prior to joining NASD, Mr. Shorris was counsel to Bingham McCutchen in Boston, and held legal and compliance positions with two broker-dealers in Massachusetts.  He began his legal career as an assistant district attorney in the Manhattan District Attorney's Office where he served in the Trial Division and the Investigation Division.

"Jim has always been a steady, knowledgeable hand, motivating our lawyers and investigators and guiding the day-to-day operations of the Enforcement program.  His strong management skills and deep knowledge of the industry coupled with his demonstrated commitment to protecting investors led to some of the most important enforcement cases FINRA and its predecessor NASD brought during his tenure here."  -- FINRA Chairman, CEO Richard Ketchum.

Mr. Shorris's future plans were not disclosed.   For further details, go to:   [FINRA News Release, 2/18]