Alvarez & Marsal (A&M), a global professional services firm, has appointed Anthony Italiano as managing director and co-leader of its Broker-Dealer Investigations & Compliance practice within the firm’s Disputes and Investigations (DI) group.
Co-leading the Broker-Dealer practice, alongside managing director Christopher Chatfield, Italiano’s hire builds on the practice’s October 2024 launch and bolsters its senior talent bench strength, capabilities and offerings.
A&M’s Broker-Dealer Investigations & Compliance practice harnesses the expertise of former regulators, industry executives, compliance leaders, data scientists, and forensic specialists, to develop comprehensive solutions that address clients’ trading surveillance, regulatory inquiries, compliance assessments, and risk control framework concerns. \
Italiano’s 20-year financial services track record aligns with the results-driven approach of A&M’s DI professionals and Broker-Dealer practitioners. Noted for his ability to help financial institutions navigate complex regulatory and litigation matters, Italiano advises clients experiencing issues with non-financial regulatory reporting (bluesheets, large option position reporting, OATS, CAT, etc.),from issue identification through remediation, complex regulatory investigations and internal investigations involving issues such as insider trading, front-running, market manipulation, and violations of the short swing profit rule (Section 16(b)). Additionally, his in-depth knowledge of equity and derivatives sales and trading, electronic trading, and broker-dealer operations helps clients mitigate risks while capitalizing on opportunities.
“Anthony’s appointment underscores A&M’s entrepreneurial culture, enabling quick, scalable responses to changing market dynamics, and its top-tier talent investment commitment,” Jerry Dent, managing director and global practice leader of A&M’s Disputes and Investigations group, said. “Our expanding Broker-Dealer Investigations & Compliance practice speaks to continuing client demand for the depth and breadth of investigative and compliance experience that only seasoned professionals such as Anthony and the team can offer. Chris and Anthony will provide the leadership to achieve our strategic growth goals along with the regulatory knowledge to ensure best-in-class solutions that maximize value.”
Prior to joining A&M, Italiano was senior managing director and co-head of the Broker-Dealer Regulatory Governance and Disputes practice at FTI Consulting. He has also held leadership roles at Ernst & Young and Bank of America Merrill Lynch, where in his role as senior vice president in the Regulatory Investigations Group responded to high-profile regulatory and governmental inquiries with significant legal, economic, and reputational implications.
“A&M is known for its ability to anticipate market needs and deliver bespoke solutions to complex problems. Anthony’s deep regulatory and investigative background strengthens our offering and ability to help clients navigate current disputes and compliance challenges while avoiding future ones,” Chatfield said. ”His approach aligns seamlessly with A&M’s results-driven mindset and operational heritage.”
“The combination of A&M’s deep regulatory knowledge-base and integrated platform offers clients a competitive edge for mitigating risk,” Italiano said. “The firm’s freedom from audit conflicts and reputation as a trusted advisor make it the ideal partner for clients looking to drive change. In collaboration with Chris and the team, I look forward to growing a practice that delivers tangible results no matter the obstacles.”
Italiano earned a bachelor’s degree in accounting & finance from the University of Phoenix. He is a member of the Association of Certified Fraud Examiners and the Securities Industry and Financial Markets Association and has held FINRA Series 7, 24, 55, and 63 certifications.
