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James S. Shorris was promoted to Executive Vice President and Head of Enforcement at NASD in March 2006. Since joining NASD in November 2003 as the Senior Vice President and Deputy Director of Enforcement, Mr. Shorris has been responsible for the operational management of the Enforcement Department, where he supervises a staff of more than 200 legal and investigative professionals nationwide, develops and implements enforcement policy, and oversees investigations and litigation.
Prior to joining NASD, Mr. Shorris practiced securities law at Bingham McCutchen LLP and Choate, Hall & Stewart in Boston, and at Morgan, Lewis & Bockius in New York. He has worked for two securities firms—as Vice President, Counsel and Chief Compliance Officer for Allmerica Financial Corporation in Worcester, MA, and as Senior Vice President and Deputy General Counsel for Tucker Anthony Incorporated in Boston. Mr. Shorris began his career as an Assistant District Attorney in the Manhattan District Attorney's Office, where he spent five years.
Mr. Shorris received a B.A., cum laude, in 1982 from Macalester College in St. Paul, Minnesota, where he graduated with honors in political science. He received his J.D. from Case Western Reserve University School of Law in Cleveland, Ohio, in 1985, where he also served as a staff member for the Case Western Reserve Journal of International Law and as a board member of the Moot Court Board. | 