1185 Avenue of the Americas
New York, New York 10036
Cell: (347) 640-1914
Enforcement Defense and Government Investigations
Financial Services Advisory and Counseling
Independent Monitoring/Independent Consulting
Securities and Complex Commercial Litigation
Securities Arbitration and Alternative Dispute Resolution
Trading and Markets Counseling
Mr. Amoruso focuses his practice on securities compliance, regulation, market structure matters, as well as counseling broker-dealers and financial institutions on a wide array of legal, compliance and regulatory matters. He counsels market participants regarding regulatory requirements and controls, examinations, investigations, enforcement and disciplinary proceedings with a particular focus on trading-related matters and he also advises those entities with respect to corporate governance. Mr. Amoruso also has extensive experience with multiple asset classes and in dealing with U.S. and foreign regulators, including, the SEC, CFTC, FINRA, NYSE and the Financial Conduct Authority (UK).
Mr. Amoruso has 25 years of financial industry experience, specifically in the legal, compliance, operational and regulatory policy arenas. From 1989-1999, Mr. Amoruso was with the New York office of the Financial Industry Regulatory Authority (FINRA), having served as Chief Counsel and, subsequently, Deputy Director. In these roles, Mr. Amoruso oversaw hundreds of examinations, investigations, enforcement matters, and new/continuing member applications. After FINRA, Mr. Amoruso spent more than 14 years at Knight Capital Group, Inc. (now, KCG Holdings, Inc.) – initially, as the Chief Compliance Officer of its broker-dealer, Knight Securities, LP (now, KCG Americas LLC), and subsequently as the General Counsel for the parent company – managing the legal, compliance, AML, internal audit, regulatory affairs, and government relations programs for the firm on a global basis. At Knight Capital Group, he oversaw a team of more than 50 people.
Mr. Amoruso has served on numerous industry committees and is a frequent speaker at industry conferences. Since 2013, Mr. Amoruso has been a member of the board of directors of the NASDAQ Stock Market LLC, NASDAQ OMX PHLX LLC, and NASDAQ OMX BX LLC.
J.D., Hofstra University School of Law, 1989
B.B.A., Hofstra University, 1986
Supreme Court of the United States
- Murphy & McGonigle, New York, NY, 2015 to present
- Knight Capital Group, Inc., Jersey City, NJ, 1999-2014
- Financial Industry Regulatory Authority (FINRA), District 10, New York, NY, 1989-1999
Seminars and Presentations
- Cantor Fitzgerald’s ETF Symposium, Moderator, Conversation with former SEC Commissioner Daniel M. Gallagher (May 19, 2016)