Josh Bandes

Senior Principal Intelligence Specialist at FINRA

Speaker

Josh Bandes, J.D., LLM, serves as Senior Principal Intelligence Specialist in FINRA's Financial Intelligence Unit within the Strategic Intelligence and Analytics Team of Member Supervision. Mr. Bandes is responsible for disseminating intelligence reports on emerging risks and threats facing the U.S. securities industry in support of investor protection and market integrity. Mr. Bandes' expertise spans across critical areas in the financial sector, including alternative investments, digital assets, and the use of emerging technologies by financial entities, such as generative AI. Prior to joining FIU, Mr. Bandes was in FINRA's Corporate Financing Department for seven years, during which he managed a team of analysts that reviewed and investigated private placement offerings.

Mr. Bandes earned his Master of Laws from Georgetown University Law Center in Securities Regulation and a Juris Doctor from Rutgers University School of Law. Mr. Bandes also holds a Bachelor of Science in International Business and Business Management from the American University Kogod School of Business. He is admitted to the state bars of New York and New Jersey.