Prior to joining Kroll, Hollie served as senior enforcement counsel at FINRA, where she was responsible for ensuring that its members complied with FINRA and SEC regulatory requirements. Hollie was also a certified FINRA dispute resolution arbitrator for over 10 years. She spent several years as senior in-house legal counsel for a large financial services firm, where she handled complex legal and compliance matters on behalf of its broker-dealer, investment adviser, clearing firm, and options house.
Hollie’s professional experience includes, among other things, presenting multifaceted securities cases before arbitration panels and regulatory bodies, determinations of compliance and causation, rule interpretation, trading analysis and risk assessment. Given her deep knowledge of FINRA and SEC rules, Hollie has several areas of expertise including standards of care, equity and options market manipulation, customer protection, financial advisor and domestic broker-dealer operations, written supervisory policies and procedures, regulatory disclosures, anti-money laundering, fair dealing and books and records requirements.
Hollie also provides consulting support across the entire lifecycle of securities investigations and litigation matters, including initial case evaluation, discovery, risk assessments, expert reports and testimony and damages analysis. Hollie has testified and served as a consulting expert on several regulatory investigations, broker-dealer and RIA disputes, and other complex securities litigation.
Recently she consulted on and was retained as a testifying expert in a dispute involving a Fortune 500 financial services firm in which its broker-dealer is alleged to have facilitated embezzlement, unauthorized trading activities and fraud. Hollie assisted in establishing broker-dealer Know Your Customer, AML and Account Monitoring customary practices.
Hollie has also served as a consulting expert on and assisted in drafting reports published on behalf of the International Swap and Derivatives Association (ISDA) including:
- “How to Implement Pre-Cessation Fallbacks in Derivatives,” May 14, 2020
- “Summary of Responses to the ISDA Supplemental Consultation on Fallbacks in Derivatives Referencing EUR LIBOR and EURIBOR and Other Less Widely Used IBORs”, March 5, 2020
- “Summary of Responses to the ISDA Consultation on Final Parameters for the Spread and Term Adjustments,” November 15, 2019
- “Summary of Reponses to the ISDA Pre-Cessation Consultation”, October 21, 2019
During the Puerto Rico government bankruptcy, Hollie consulted on disputes among the Puerto Rico government and its bond holders, assisting in in the tracing and prioritizing of collateralized assets and advising on bond holder and issuer obligations.
Hollie received a J.D. from Creighton University School of Law.