David Jaffe

David Jaffe is a seasoned legal professional with extensive experience in regulatory compliance and counsel within the financial services sector. Currently serving as Senior Special Counsel at the U.S. Securities and Exchange Commission since March 2020, Jaffe provides regulatory guidance for the Broker Dealer Examination program, focusing on the interpretation of key securities laws and rules. Prior roles include Director of Regulatory Relations at Barclays and Director of Regulatory Examinations and Inquiries at Deutsche Bank Securities, alongside a significant tenure at FINRA where Jaffe held multiple positions including Regional Chief Counsel for the New York Region. Jaffe's career also includes experience as a Trial Attorney at the Commodity Futures Trading Commission and as a Senior Assistant District Attorney at the Kings County District Attorney's Office. Jaffe holds a BA in Government and a JD from St. John's University and St. John's University School of Law, respectively.