Jen Crawford is a securities enforcement attorney and litigation executive with more than 20 years of experience leading complex investigations, regulatory proceedings, and high-stakes litigation. Drawing on her senior roles at both FINRA and the SEC, Jen brings clients a distinctive combination of securities law knowledge, regulatory insight, litigation strategy, and practical judgment.

Jen represents financial services firms and professionals, public companies, funding portals, fintech companies, and individuals before the SEC, FINRA, CFTC, U.S. securities exchanges—including the NYSE, Nasdaq, and Cboe— and state securities regulators, and in internal investigations. She advises clients on enforcement, litigation, examination, compliance, membership, statutory disqualification, reporting and disclosure, registration, and licensing matters. Her practice also includes representing clients in arbitrations and civil litigation.

FINRA Leadership

Before entering private practice, Jen spent 13 years at FINRA in progressively senior roles, most recently serving as Vice President, Litigation in FINRA’s Enforcement Department. In that role, she was the head of FINRA’s nationwide enforcement litigation program and served on the department’s senior leadership team. She supervised more than 300 hearings and appeals involving disciplinary, expedited, membership application, statutory disqualifications, and exemptive relief proceedings.

Jen also created and led FINRA’s non-disciplinary litigation program, overseeing a team that provided strategic guidance, legal counseling, and litigation support to FINRA’s risk monitoring, investigations, national cause, membership application, statutory disqualification, examination, and dispute resolution services programs. She played a significant role in developing litigation and investigative policies, procedures, and training, and advised on FINRA rulemaking initiatives.

Prior to heading Enforcement’s litigation program, Jen was a Director in the Enforcement Department and served as a Hearing Officer in the Office of Hearing Officers, where she presided over disciplinary and expedited proceedings and served as a mediator.

SEC Enforcement

Earlier in her career, Jen served as Senior Counsel in the SEC’s Division of Enforcement, where she was lead counsel on complex securities investigations and litigations brought in federal court and through administrative proceedings. She frequently worked with criminal authorities on parallel investigations and coordinated with domestic and international law enforcement agencies and securities regulators. She also brought numerous emergency enforcement actions involving temporary restraining orders, asset freezes, and trading suspensions.

Client-Focused Counsel

Jen has an in-depth understanding of how regulatory matters are evaluated, investigated, litigated, and resolved. She draws on that perspective to help clients anticipate regulatory concerns, assess risk, and develop effective strategies in their matters. When litigation is necessary, she brings the perspective of an experienced trial lawyer and former senior regulator who has handled every stage of an enforcement matter—from initial investigation and charging decisions through hearing, appeal, and final adjudication.

Representative Experience

Jen has supervised, investigated, and litigated more than a thousand matters involving a broad range of securities law and regulatory issues, including:

• ◆Insider trading and market manipulation
• ◆Offering fraud and Ponzi schemes
• ◆Exchange Act reporting and disclosure violations
• ◆Investment Advisers Act and Investment Company Act violations
• ◆Securities Act Section 5 registration violations
• ◆Anti-money laundering violations
• ◆Systemic and isolated supervisory and suitability failures
• ◆Best execution and non-bona fide orders
• ◆Misappropriation, conversion, and unauthorized trading
• ◆Private securities transactions and outside business activities
• ◆Financial and operational rules violations
• ◆Crowdfunding violations
• ◆FINRA membership applications and Form MC-400 applications
• ◆Form U4 and Form U5 reporting and disclosure violations
• ◆FINRA licensing and registration matters