Jorge L. Riera, as former Senior Counsel for the Southeast Region of the U.S. Securities and Exchange Commission (SEC), focuses his nationwide practice on investor claims against their brokers, investment advisers, advisory firms, and brokerage firms. Jorge also draws on his years of experience at the SEC to assist clients in navigating difficult SEC and FINRA regulatory examination and enforcement issues.
Before founding Riera Law, Jorge gained extensive knowledge with investment fraud and securities fraud when he served for a decade at the SEC’s Division of Enforcement. In this role, Jorge led numerous investigations and enforcement actions of potential complex federal securities law violations involving financial fraud, violations by broker-dealers and investment advisers, fraudulent oil and gas offering, Ponzi schemes, unregistered offerings, market manipulation, insider trading, trading suspension, accounting fraud and disclosure fraud. As Senior Counsel at the SEC, Jorge led many high-profile enforcement actions, and received awards recognizing him for his exemplary work on investigations and his commitment to excellence.
Jorge is committed to protecting harmed investors who have misplaced their trust with brokers and investment advisers, and helping them recover their hard-earned life savings. While serving at the SEC, he demonstrated his commitment by vigorously pursuing bad actors who committed investment fraud and securities fraud on behalf of thousands of harmed investors and successfully brought enforcement actions against them to hold them accountable for their misconduct.
Jorge has also served as in-house counsel regional compliance director for HSBC Bank North America’s global banking, market and corporate businesses. As part of his role, Jorge led the transformation of HSBC’s compliance and risk management function and was heavily involved in critical regulatory projects involving regulatory expectations for enterprise, compliance, and conduct risk management, and helping establish conduct-risk functions. His prior experience as an SEC regulator and director of compliance provides a unique background and strategic perspectives on how to identify and satisfy regulatory expectations.
Before commencing his legal career, Jorge practiced as a CPA. With his experience as a CPA, he has the ability to analyze the damages and trying to attribute the damages to the alleged bad acts. In cases involving claims for monetary or lost profits damages, clients will generally be able to recover damages only if it can be demonstrated that the breach or other wrongful act committed by the bad actor was the reason for the loss.
He has a business degree in Finance and International Business, with honors, from Florida International University, a masters degree in accounting, with highest honors, from Nova Southeastern University, and a law degree, with honors, from Nova Southeastern University, where he served as a member and board member of the NSU Law Journal and NSU Trial Association (f/k/a Association of Trial Lawyers of America).