Scott M. Murray

Senior Vice President, Director, Regulatory Compliance Wells Fargo Advisors

Scott Murray is a Senior Vice President and Director of Regulatory Relations for Wells Fargo’s retail broker-dealers.  Based in St. Louis, Scott leads a team of professionals that manage the Firms’ regulatory interactions with all of their federal, state and SRO examining authorities including the FRB, OCC, SEC, CFTC, IRS, FINRA, NFA and State Securities, Insurance, Unclaimed Property and Mortgage agencies, among others.  Prior to this position, Scott was a Senior Regulatory Counsel within Wells Fargo’s Law Department.  Scott’s in-house practice concentrated mostly in the area of complex internal investigations and representing the retail Firms before numerous federal, state and local governmental agencies and industry SROs.  Prior to Wells Fargo and predecessor firm, Wachovia Securities, Scott was a Senior Associate with the Chicago – based law firm, Gardner, Carton & Douglas (now Faegre Drinker Biddle & Reath) where he counseled numerous financial services clients and litigated an array of securities and futures-related matters including customer and intra-industry disputes, securities class actions and SEC, CFTC and SRO investigations and enforcement proceedings.  He started his career as an examiner for the NASD (a predecessor firm to FINRA), worked for Fidelity Investments, and during law school clerked for the U.S. Department of Justice/Antitrust Division and the Massachusetts Attorney General’s Office/Public Charities.