Kevin D. Rosen


Kevin is Senior Regional Counsel with the Department of Enforcement at the Financial Industry Regulatory Authority (FINRA). In his role at FINRA, Kevin is a FINRA Regulatory Specialist on information technology, cybersecurity and privacy, and he is a member of the FINRA Cybersecurity and IT Governance Disposition Group. Kevin reviews and evaluates cybersecurity and information technology governance examination findings and enforcement referrals, and he advises on cybersecurity-related examinations and investigations of broker-dealers. Moreover, Kevin has spoken on cybersecurity and securities regulation before FINRA staff, law enforcement, industry professionals, and academia. Kevin also represents FINRA in hearings and formal disciplinary proceedings on a variety of securities regulatory matters. Prior to Enforcement, Kevin was Associate Regional Director with FINRA Dispute Resolution, the largest securities dispute resolution forum in the United States. Before joining FINRA, Kevin was Senior Attorney with the Florida Department of Banking and Finance, wherein he directed complex financial investigations and represented the government in licensing and disciplinary matters. Prior to his government service, Kevin had practiced commercial and consumer law in the private sector.