Jim Reilly is a highly experienced financial regulatory expert with over two decades of experience. He has an expansive knowledge of Securities Act, the Exchange Act, the Investment Advisers Act, FINRA, CBOE, and NFA rules and regulations, as well as anti-money laundering laws and regulations. Since 1993, Jim's company, Capital Forensics, Inc. has provided expert testimony & litigation support, regulatory & compliance consulting, big data mining & quantitative analysis, forensic accounting, internal investigations, arbitration tools, early dispute resolution, and employment disputes.

Jim has a Bachelor's degree in Finance from the University of Maryland College Park. He has held numerous high-level positions, including Managing Director, Chief Compliance Officer at TD Ameritrade, Managing Partner at Lex Sequor Consulting, LLC, Senior Vice President, Head of Compliance at TIAA-CREF, Managing Director, Head of Global Equities Compliance at Goldman Sachs, Compliance Officer at Salomon Smith Barney, and Special Investigator at NASD.

Providing expertise and guidance spanning a range of financial regulatory areas, Jim is a valued consultant at Capital Forensics, Inc. He has also served as an Investor Engagement Manager at The Humane Society of the United States and Managing Partner for PNA Consulting LLC.