Do you ever wonder if our investments are protected, or if we should trust the capital markets? Join us to hear from the manager of the team responsible for just those things!
About our speaker:
Joseph (Joe) Rotunda is the Director of Enforcement for the Texas State Securities Board. He manages a team of attorneys and investigators responsible for protecting Texas investors and promoting confidence in the capital markets. His team is responsible for investigating a wide range of complex securities offerings and, as appropriate, pursuing monetary, injunctive and criminal relief against promoters of fraudulent investment schemes.
Joe also serves as the Vice Chair of the Enforcement Section of the North American Securities Administrators Association (NASAA). In that capacity, he helps coordinate working groups of U.S. and Canadian securities regulators dedicated to identifying market trends, investigating complex offerings and pursuing coordinated enforcement actions. He also assisted in leading specialized task forces, including Operation CryptoSweep (2018), resulting in more than 85 enforcement actions tied to fraudulent digital asset investments, and the COVID-19 Enforcement Task Force (2020), resulting in more than 40 enforcement actions allegedly involving phony vaccines, fake medical treatments and various matters related to the pandemic.
Joe received his undergraduate degree from Trinity University (San Antonio, Texas) and his juris doctorate from the University of Kansas (Lawrence, Kansas). He was previously employed as felony prosecutor with the Travis County (Austin, Texas) District Attorney’s Office.
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