Mac Knox is a securities litigation consultant for Sutherland’s Litigation Practice Group. He previously worked as an examiner and supervisor for 12 years in the Atlanta District Office of the National Association of Securities Dealers (NASD), which later became part of FINRA.
Mac also served three years as Capital Markets Compliance Director for the Robinson-Humphrey Company and worked in various compliance roles with SunTrust Bank broker-dealers, including Deputy Director of Compliance for both SunTrust Capital Markets, Inc. and SunTrust Investment Services, Inc. Mac currently supports Sutherland’s Securities Enforcement group in defending broker-dealers and investment advisers in regulatory and civil matters and in providing advice on compliance and supervision issues.
In his roles as a regulator and compliance officer, Mac has extensive experience dealing with regulatory examinations and disciplinary actions of all types; implementing complex policies, procedures and automated solutions for supervising securities sales practices (including anti-money laundering, business continuity, electronic communications and surveillance systems); managing all areas of compliance (including advertising/sales literature review, branch audit, registration/licensing and surveillance); and overseeing regulatory and administrative matters for broker-dealer mergers and acquisitions.
Mac earned a Bachelor of Science in Finance from Auburn University in 1986.