James Dolan

Jim Dolan is the Chief Compliance Officer (CCO), Regulatory Counsel, and Chief Information Security Officer (CISO) for LeveL Markets, LLC, in Boston. LeveL Markets was formed through the merger of Luminex Trading & Analytics LLC and eBX LLC in 2022 and operates the LeveL Alternative Trading System (ATS). LeveL Markets is owned by several large financial services companies, including Fidelity, Bank of America, Nasdaq, and other leading buyside and sellside financial services firms. Prior to joining LeveL Markets in 2015 as CCO, CISO and Chief Legal Officer, Jim was a VP of Compliance for Fidelity. Prior to Fidelity, Jim spent nearly twenty years as a stock market regulator with NASD (now FINRA), investigating insider trading, fraud and market manipulation, among other responsibilities. Most notably, Jim was a lead investigator on the fraud and manipulation investigations of Stratton Oakmont and Jordan Belfort, helping to bring down the “Wolf of Wall Street.”

Jim is a graduate of The Pennsylvania State University and of the Columbus School of Law at The Catholic University of America in Washington, DC. Jim is a member of the Maryland bar and is registered in Massachusetts as In-House Counsel. He is registered with FINRA as a General Securities Representative and Principal, as an Operations Professional, and as a Compliance Officer.