FINRA - Key Persons
Job Titles:
- Member of the Fixed Income Committee
- Member of Committee
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- Vice President and Director, Appellate Group
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- Member of the Economic Advisory Committee
- Member of Committee
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- Vice President
- Vice President, Regulatory Risk Counsel
As Vice President - Regulatory Risk Counsel, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the MRTS team in connection with FINRA's participation in the National Market System Plans, including the Consolidated Audit Trail and Securities Information Processor Plans.
Mr, Ellenberg previously served as an Associate General Counsel in the Capital Markets Group of FINRA's Office of General Counsel, where he provided legal and strategic advice on equity and fixed income market structure matters, drafted rule proposals and consulted with MRTS, Examination and Enforcement staff on various interpretive issues. Prior to joining FINRA, he worked for the SEC in the Division of Trading and Markets, and previously was in private practice at Covington & Burling LLP and clerked for a federal trial judge in Washington, DC.
Mr. Ellenberg graduated from Cornell Law School and the University of Pennsylvania.
Job Titles:
- Member of the Financial Responsibility Committee
- Member of Committee
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- Member of the Investor Issues Committee
- Chief Economist, CFA Institute
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- Ares Investor Services LLC / Los Angeles, CA
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- Member of the Clearing Firm Advisory Committee
- Member of the Financial Responsibility Committee
- Executive Vice President / Head of Office of Financial
- Member of Committee
Job Titles:
- Senior Vice President
- Senior Vice President of Advanced Analytics
As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA's analytics strategy and implementations-including machine learning, artificial intelligence and data visualization-to further enable investor protection and safeguard the financial markets. He also chairs FINRA's Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities that will maximize the benefits to investors, member firms, and FINRA.
Before joining FINRA in September 2021, Mr. Ahrens spent more than 20 years at Charles Schwab. Most recently, he served as Vice President of Risk Technology, Analytics and Change for the firm's Enterprise Risk Management department. In that role, Mr. Ahrens oversaw the development, testing and implementation of applications used across Charles Schwab's risk management and compliance programs. He also led the Risk Analytics Team providing data engineering and business intelligence to risk partners. Before assuming that role, he worked in various other compliance positions at the firm with a focus on surveillance, sales practice, operations, digital, financial crimes, and building collaborative partnerships to bridge the gap between regulation and technology.
Mr. Ahrens holds a BA in International Relations from the University of Wisconsin-Madison.
Job Titles:
- Member of the Financial Responsibility Committee
- Member of Committee
Job Titles:
- Member of the Membership Committee
Job Titles:
- Chairman of the Nominating & Governance Committee
- Member of the Conflicts Committee
- Member of the Executive Committee
- Member of the Investment Committee
- Member of Committee
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- Member of the Small Firm Advisory Committee
- Member of Committee
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- Member of the Corporate Financing Committee
- Member of Committee
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- Member of the Small Firm Advisory Committee
- Bridge Capital Associates, Inc
- Member of Committee
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- Member of the Fixed Income Committee
- Member of Committee
- Stern Brothers & Co
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- Member of the Economic Advisory Committee
- Member of Committee
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- Member of the Membership Committee
- Bankers Life Securities, Inc
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- Member of the Fixed Income Committee
- Charles Schwab & Co
- Member of Committee
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- Member of the Uniform Practice Code Committee
- Member of Committee
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- Member of the Large Firm Advisory Committee
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- Member of the Investor Issues Committee
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- Senior Vice President and Deputy Head of Enforcement
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- Member of the Market Regulation Committee
- Member of Committee
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- Member of the Membership Committee
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- Member of the Economic Advisory Committee
- Member of Committee
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- Member of the Large Firm Advisory Committee
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- Member of the Fixed Income Committee
- Member of Committee
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- Senior Vice President / Corporate Communications
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- Member of the Market Regulation Committee
- Member of Committee
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- Member of the Membership Committee
- PFS Investments, Inc
Job Titles:
- Member of the Corporate Financing Committee
- Member of Committee
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- Member of the Market Regulation Committee
- Member of Committee
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- Member of the Large Firm Advisory Committee
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- Member of the Large Firm Advisory Committee
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- Member of Committee
- Retired / San Francisco, CA
Job Titles:
- Member of the Market Regulation Committee
- Member of Committee
Job Titles:
- Chief Audit Executive
- Senior Vice President
Denise Dombay joined FINRA in June 2020 as the Senior Vice President and Chief Audit Executive. In her role, she leads the organization's Internal Audit function, which reports directly to the Audit Committee of the Board of Governors and provides assurance regarding FINRA's internal control environment.
Ms. Dombay has over 30 years of experience in corporate audit and client service positions. She started her career in client services as an audit partner at Arthur Andersen and Ernst & Young. From 2008 to 2015, she worked at Marriott International as Chief Audit Executive and in senior Finance roles.
Prior to joining FINRA, Ms. Dombay spent several years developing and running her own swim school, pursuing her passion for swimming and education. She graduated with honors from The George Washington University (GWU) with a bachelor's degree in accounting.
She serves on the Board of the Capital Area Food Bank, which partners with over 450 non-profit organizations in the DC area to ensure everyone has access to good, healthy food. She is also a member of the Athletic Advisory Council at GWU.
Job Titles:
- Member of the Membership Committee
Job Titles:
- Chairman of the Conflicts Committee
- Chairman of the Executive Committee
- Member of the Nominating & Governance Committee
- Chairman and Public Governor
- Chairman of Committee
- Ex - Officio
Job Titles:
- Member of the Small Firm Advisory Committee
- Member of Committee
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- Member of the Corporate Financing Committee
- Member of Committee
Job Titles:
- Member of the Executive Committee
- Member of the Regulatory Policy Committee
- Chairman of Committee
The Finance Committee advises and assists the Board in fulfilling its responsibilities to oversee management's conduct related to the strategy, financial policies and financial condition of the organization. More specifically, the Finance Committee reviews and advises the Board on the Corporation's strategic opportunities, direction and plans. This includes advising and assisting the Board in providing guidance and oversight on the Corporation's operations, including resource allocation, business operations, technology programs and activities. The Finance Committee also reviews and recommends for Board approval the annual operating and capital budget and proposed changes to the rates and fees charged by FINRA.
In addition, the Committee provides oversight on the investment of FINRA's funds in accordance with FINRA's Investment Policy Statement and the Investment Committee's fulfillment of its responsibilities.
Job Titles:
- Member of the Economic Advisory Committee
- Member of Committee
Job Titles:
- Member of the Fixed Income Committee
- Member of Committee
- Siebert Williams Shank & Co
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- Member of the Clearing Firm Advisory Committee
- Member of Committee
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- Member of the Investor Issues Committee
- President, FINRA Investor Education Foundation and Senior Vice President, Investor Education, FINRA
Gerri Walsh is Senior Vice President of Investor Education at the Financial Industry Regulatory Authority (FINRA). In this capacity, she is responsible for the development and operations of FINRA's investor education program. She is also President of the FINRA Investor Education Foundation, where she manages the Foundation's strategic initiatives to educate and protect investors and to benchmark and foster financial capability for all Americans, especially underserved audiences. Ms. Walsh was the founding executive sponsor of FINRA's Military Community Employee Resource Group. She serves on the Advisory Council to the Stanford Center on Longevity and represents FINRA on IOSCO's standing policy committee on retail investor education, the Jump$tart Coalition for Personal Financial Literacy, NASAA's Senior Investor Advisory Council and the Wharton Pension Research Council.
Prior to joining FINRA in May 2006, Ms. Walsh was Deputy Director of the Securities and Exchange Commission's Office of Investor Education and Assistance (OIEA) and, before that, Special Counsel to the Director of OIEA. She also served as a senior attorney in the SEC's Division of Enforcement, investigating and prosecuting violators of the federal securities laws. Before that, she practiced law as an associate with Hogan Lovells in Washington, D.C.
Ms. Walsh received her J.D. from N.Y.U. School of Law and her B.A., magna cum laude, from Amherst College. She is a member of the New York and District of Columbia bars.
Job Titles:
- Member of the Economic Advisory Committee
- Member of Committee
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- Senior Director / International
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- Executive Vice President, Member Supervision
- Professor of Practice at the University
Greg Ruppert leads FINRA's Member Supervision organization, a cohesive group of programs which protect investors and safeguard market integrity through surveillance and oversight of Member Firms and Registered Representatives. In particular, Mr. Ruppert sets the strategic direction of the Member Application Program, Risk Monitoring Program, Firm Examination Program, and Investigative Programs of the organization. Mr. Ruppert joined FINRA in 2020 as the Executive Vice President of FINRA's National Cause and Financial Crimes Detection Program (NCFC) within Member Supervision. In his prior role, Mr. Ruppert oversaw FINRA's National Cause Program, Financial Crimes Surveillance, and Specialized Investigative Units covering vulnerable adults and seniors, anti-money laundering and fraud, high-risk representatives, and cybersecurity. He was also responsible for the creation of FINRA's Financial Intelligence Unit.
Prior to joining FINRA, from 2014 to 2020, Mr. Ruppert was a Senior Vice President in Charles Schwab Corporation's Risk Management department. In that role, he led teams responsible for several of the key operational and compliance risk areas across the enterprise. He also served as the Board-appointed Bank Secrecy Act (BSA) Officer and the Corporate Responsibility Officer for the corporation. Prior to joining Schwab, Mr. Ruppert spent more than 17 years with the U.S. Government, achieving the rank of Senior Executive Service. Mr. Ruppert's career as a Special Agent in the FBI included investigator and leadership roles specializing in complex corporate and securities cases, financial crimes, terrorism, and cyber.
Mr. Ruppert is a Professor of Practice at the University of the Pacific, School of Engineering and Computer Sciences, for the Data Science Master's Program. He is on the Board of Directors of the non-profit organization CalTrout. Previously, he was on the board of the non-profit organization GirlVentures and served as President of the board.
Mr. Ruppert has a J.D. from the University of the Pacific's McGeorge School of Law and a B.A. from the University of the Pacific.
Job Titles:
- Member of the Economic Advisory Committee
- Member of Committee
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- Member of the Investment Committee
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- Member of the Economic Advisory Committee
- Member of Committee
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- Vice President and Head of Financial Innovation
Haimera Workie, Vice President and Head of Financial innovation, oversees the Office of Financial Innovation. In this capacity, he is responsible for leading FINRA's Office of Financial Innovation, which focuses on analyzing financial technology (FinTech) innovations and emerging risks and trends related to the securities market. As part of these responsibilities, Mr. Workie works to foster an ongoing dialogue with market participants in order to build a better understanding of FinTech innovations and their impact on the securities markets.
Mr. Workie is a graduate of the Massachusetts Institute of Technology (B.S., M.S.) and Harvard Law School (J.D.
Job Titles:
- Paulson Investment Company, LLC / Lake Oswego, or / District 3
Job Titles:
- Member of the Economic Advisory Committee
- Member of Committee
Job Titles:
- Member of the Economic Advisory Committee
- Member of Committee
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- Member of the Financial Responsibility Committee
- Member of the Large Firm Advisory Committee
- Member of Committee
- Securities
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- Chairman of the Investment Committee
- Member of the Audit Committee
- Member of the Conflicts Committee
- Member of Committee
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- Saturna Brokerage Services, Inc. Bellingham, WA / District 3
Job Titles:
- Member of the Fixed Income Committee
- Member of Committee
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- Member of the Financial Responsibility Committee
- Member of Committee
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- Member of Committee
- Pershing Advisor Solutions LLC / New York, NY
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- Member of the Clearing Firm Advisory Committee
- Member of Committee
- National Financial Services LLC
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- Member of the Economic Advisory Committee
- Kogod School of Business, American University
- Member of Committee
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- Member of the Financial Responsibility Committee
- Member of the Uniform Practice Code Committee
- Member of Committee
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- Senior Vice President, Finance and Administration
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- Member of the Corporate Financing Committee
- Member of Committee
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- Member of the Large Firm Advisory Committee
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- Member of the Market Regulation Committee
- Member of Committee
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- Member of the Investment Committee
The Management Compensation Committee reviews and recommends changes to FINRA's compensation policies, programs and practices, with the primary objective that FINRA attract, develop and retain high performing individuals who are capable of achieving FINRA's mission of ensuring market integrity and investor protection. The Committee also reviews the plans for the development, retention and succession of key executives of the Corporation and its subsidiaries.
Job Titles:
- Executive Vice President and Head of Enforcement
Jessica Hopper is Executive Vice President and Head of Enforcement, responsible for FINRA's disciplinary actions across the country. Prior to assuming this role in January 2020, she was Senior Vice President and Deputy Head of Enforcement for four years, and Senior Vice President in charge of the Regional Enforcement program in the 14 FINRA District Offices from 2011 to 2016. Hopper joined FINRA in 2004 and was a Director in FINRA's Washington D.C. office until 2011.
Prior to joining FINRA, from 2000 to 2004, she was part of Legg Mason Wood Walker, Inc.'s Legal & Compliance team, where her responsibilities focused on retail sales compliance. She began her career as a litigation attorney in private practice.
Hopper holds a J.D. from the University of Toledo College of Law and earned a B.A. from Hillsdale College.
Job Titles:
- Member of the Small Firm Advisory Committee
- Member of Committee
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- Member of the Clearing Firm Advisory Committee
- Member of Committee
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- Member of the Fixed Income Committee
- Member of Committee
- Piper Sandler & Co
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- Member of the Membership Committee
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- Member of the Large Firm Advisory Committee
- Goldman Sachs & Co
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- Member of the Investment Committee
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- Executive Vice President, Quality of Markets
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- Member of the Market Regulation Committee
- Member of Committee
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- Chief Economist and Senior Vice President
Jonathan S. Sokobin, Chief Economist and Senior Vice President, oversees the Office of the Chief Economist. In this role, he works closely with the Office of General Counsel and other departments in developing new rules, and analyzing the regulatory impact, including costs and benefits, of existing and potential rulemakings. He leads a team of researchers who gather and analyze data on securities firms and markets in order to inform policymaking at FINRA.
Previously, Mr. Sokobin was Acting Deputy Director, leading the Research Center in the Office of Financial Research at the U.S. Treasury Department. He joined the U.S Treasury Department in 2011 as Chief of Analytical Strategy in the Office of Financial Research.
Prior to joining the Treasury Department, Mr. Sokobin was Acting Director of the SEC's Division of Risk, Strategy, and Financial Innovation. He joined the SEC staff in 2000 and held various positions, including Deputy Chief Economist and Director of the former Office of Risk Assessment. From 1998 to 2000, he was a Senior Research Fellow at the SEC.
Mr. Sokobin began his career as a member of the faculty of the Cox School of Business at Southern Methodist University. He received his Ph.D. and MBA in finance from the Graduate School of Business at the University of Chicago, and his bachelor's degree in economics from the Ohio State University.
Job Titles:
- Member of the Corporate Financing Committee
- Member of Committee
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- Member of the Small Firm Advisory Committee
- CCO Capital, LLC
- Member of Committee
Job Titles:
- Vice President and Chief of Staff, Enforcement
Job Titles:
- Member of the Nominating & Governance Committee
- Member of Committee
Job Titles:
- Member of the Clearing Firm Advisory Committee
- Member of the Large Firm Advisory Committee
- Member of the Membership Committee
- Member of the Small Firm Advisory Committee
- Member of Committee
- Vice President / Member Relations and Education
- Vice President of Member Relations and Education
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski's responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA's Member Education area, which includes FINRA conferences and other member firm educational offerings such as the FINRA Institute at Georgetown for the Certified Regulatory and Compliance Professional (CRCP)® designation. Ms. Toczylowski has been with FINRA since 2011 and spent nine years in Member Supervision's examination program. Most recently, Ms. Toczylowski was an Examination Director located in the Philadelphia, PA office, where she led geographically dispersed exam teams responsible for planning and executing Member Supervision's examination program relative to a subset of firms engaged primarily in Capital Markets & Investment Banking Services. She entered the securities industry in 2003 in the compliance department of Janney Montgomery Scott, a regional broker-dealer headquartered in Philadelphia. The majority of her eight-year career at Janney was spent as a compliance examiner for the firm's branch network. Ms. Toczylowski has a Bachelor of Arts degree in English from Villanova.
Job Titles:
- Member of the Large Firm Advisory Committee
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- Hilltop Securities
- Member of Committee
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- Cetera Advisor Networks / El Segundo, CA
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- Member of the Membership Committee
- GWFS Equities, Inc
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- GVC Capital LLC / Greenwood Village, CO / District 3
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- Senior Vice President / Member Supervision Data Analytics and Technology
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- Member of the Large Firm Advisory Committee
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- Member of the Clearing Firm Advisory Committee
- Hilltop Securities
- Member of Committee
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- Chairman of the Audit Committee
- Member of the Conflicts Committee
- Member of the Executive Committee
- Member of Committee
- Retired / Charlotte, NC
Job Titles:
- Member of the Corporate Financing Committee
- Member of Committee
Job Titles:
- Member of the Audit Committee
- Member of the Small Firm Advisory Committee
- Allison & Co
- Ex - Officio
- Member of Committee
The FINRA Conflicts Committee is a standing committee of the FINRA Board of Governors (Board) that serves in an advisory capacity with a primary purpose of assisting the Board in reviewing and evaluating specific matters brought before the Board or one of FINRA's standing committees that the Board or management believes may involve conflicts of interest.
Job Titles:
- Vice President of People Analytics and Operations
Lisa Arnesen is FINRA's Vice President of People Analytics and Operations. In this role, Ms. Arnesen leads the strategic and operational support of all HR systems, as well as FINRA's employee relations and people-focused data analytics and reporting functions.
Prior to joining FINRA in November 2021, Ms. Arnesen was Vice President of HR Operations at Erickson Living, where she was responsible for the benefits, compensation, HR technology, payroll, HR compliance, workers' compensation and HR metrics functions. Ms. Arnesen previously worked at Exelon Corporation, where she served in roles ranging from HR strategy and planning, HR program management and shared services to IT strategy and planning, among others.
Ms. Arnesen received her Bachelor of Science in Computer Science and Mathematics from McDaniel College and her Master of Science in Computer Systems Management from the University of Maryland University College.
Job Titles:
- Chief of Staff
- Senior Vice President
- Senior Vice President and Chief of Staff for FINRA Market Regulation
Lisa Horrigan is Senior Vice President and Chief of Staff for FINRA Market Regulation and Transparency Services (MRTS). Ms. Horrigan oversees a broad range of operational, regulatory and business planning activities for MRTS. She also advises and provides strategic support and direction to the Executive Vice President and senior leadership team to further enhance the department's regulatory effectiveness and efficiency.
Ms. Horrigan joined FINRA in 2005. Prior to serving in her current role, Ms. Horrigan was an Associate General Counsel in the Capital Markets Group of FINRA's Office of General Counsel. There, she provided legal and advisory support to MRTS, developing and interpreting rules in support of FINRA's efforts to improve equity market structure, enhance FINRA's audit trails and increase market transparency. Among other areas, Ms. Horrigan supported the policy, rulemaking and regulatory reporting functions relating to FINRA's Trade Reporting Facilities, OTC Reporting Facility, Alternative Display Facility and Order Audit Trail System. She also provided legal counsel for FINRA's participation in the CAT and SIP National Market System Plans. Before joining FINRA, Ms. Horrigan was an attorney with the Securities Investor Protection Corporation, and previously was in private practice with Chadbourne & Parke LLP (now known as Norton Rose Fulbright) and Cadwalader, Wickersham and Taft LLP. Prior to law school, she worked for the National Security Agency as a Russian linguist.
Ms. Horrigan graduated cum laude from Harvard Law School and earned a B.A. with honors in International Studies, with a minor in Russian, from Johns Hopkins University, where she was elected to Phi Beta Kappa.
Job Titles:
- Vice President and Deputy Chief Economist
As the Vice President and Deputy Chief Economist, Ms. Walsh is responsible for management of national strategic and tactical initiatives by providing high quality research, analysis and advice on the economics of securities regulation and policy in support of the Office of the Chief Economist (OCE) and FINRA's mission. The work product informs current rulemaking initiatives, reviews of existing rules and potential areas of future regulatory actions through analysis of the economic impacts of existing and potential rulemakings.
Ms. Walsh has been with FINRA since 2017. In addition to standing in for the Chief Economist in his absence, Ms. Walsh has been leading OCE's efforts to provide strategic and tactical economic support to FINRA's enforcement activities. Ms. Walsh is also actively involved in several advanced R&D initiatives with Technology and other business units to ensure that FINRA stays on the cutting edge of technological innovations in the financial markets.
Previously, Ms. Walsh was the Chief of the Center for Risk and Quantitative Analytics in the Division of Enforcement at the SEC from 2013 to 2017. She joined the Division of Enforcement as the Deputy Chief of the Office of Market Intelligence in 2010 and served as the Acting Chief from 2012 to 2013. Ms. Walsh started her career in 2000 as an economist in what is currently the SEC's Division of Economic and Risk Assessment.
Ms. Walsh holds a B.S. in Accounting, an M.B.A. and a Ph.D. in Finance from the Pennsylvania State University.
Job Titles:
- Executive Vice President / Board and External
- Executive Vice President, Board and External Relations
Marcia Asquith, Executive Vice President, Board and External Relations, oversees the Office of the Corporate Secretary, as well as the offices of Investor Education, Member Relations and Education, Government Affairs, Corporate Communications and International.
Ms. Asquith's tenure at FINRA began in 2001 when she was hired as the Director of Government Relations. In 2004, she was promoted to Vice President of Government Relations and in 2007 she was named Corporate Secretary. She was subsequently promoted to Senior Vice President.
Prior to joining FINRA, Ms. Asquith served for seven years as Counsel to the Senate Agriculture Committee under Chairman Richard Lugar.
Ms. Asquith holds a BA in Economics from Oklahoma State University and a JD from the College of William & Mary School of Law. She currently serves on the Board of Trustees of the College of William & Mary School of Law Foundation.
Job Titles:
- Member of the Market Regulation Committee
- Member of Committee
Job Titles:
- Member of the Membership Committee
Job Titles:
- Member of the Fixed Income Committee
- Member of Committee
Job Titles:
- Member of the Fixed Income Committee
- Huntington Securities
- Member of Committee
Job Titles:
- Member of the Investor Issues Committee
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- Member of the Clearing Firm Advisory Committee
- Member of Committee
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- Member of the Corporate Financing Committee
- Goldman Sachs & Co
- Member of Committee
Job Titles:
- Chief
- Officer
- Senior Vice President
- Senior Vice President and Chief Hearing Officer
Maureen Delaney is Senior Vice President and Chief Hearing Officer. As the Chief Hearing Officer, she oversees FINRA's Office of Hearing Officers (OHO), an office of impartial adjudicators who preside over disciplinary and expedited actions commenced by FINRA's Enforcement Department. OHO also handles disciplinary matters for approximately 20 other exchanges and self-regulatory organizations under Regulatory Service Agreements. Ms. Delaney has been the Chief Hearing Officer since 2017 and, before that, served for eight years as a Hearing Officer.
Before joining FINRA, Ms. Delaney was a trial attorney with the U.S. Department of Justice, an associate at a mid-sized law firm, and an Assistant State's Attorney in Maryland. Ms. Delaney is a Certified Regulatory and Compliance Professional through the FINRA Institute at Wharton, University of Pennsylvania. She is also a Fulbright Scholar who taught courses in South America pertaining to the United States legal system.
She holds a BS in Finance from the University of Delaware and a JD from the Washington College of Law, American University.
Job Titles:
- Member of the Audit Committee
- Member of the Executive Committee
- Member of the Nominating & Governance Committee
- Chairman of Committee
Job Titles:
- Principal Securities / Des Moines, IA
Job Titles:
- Member of the Fixed Income Committee
- Member of Committee
Job Titles:
- Member of the Financial Responsibility Committee
- Member of Committee
- National Financial Services
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- Member of the Corporate Financing Committee
- Member of Committee
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- Member of the Market Regulation Committee
- Citigroup Global Markets Inc
- Member of Committee
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- Member of Committee
- Retired / Warwick, NY
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- Life Member of Alpha Kappa Alpha Sorority, Inc
- Vice President of Talent Acquisition and Chief Diversity Officer
Audria Pendergrass Lee is FINRA's Vice President of Talent Acquisition and Chief Diversity Officer. In this role, she leads FINRA's strategic diversity, equity and inclusion, and talent acquisition efforts.
Since joining FINRA in 2009, Ms. Pendergrass Lee has spearheaded the strategic deployment of resources that support FINRA's goal of fostering an attractive and inclusive workplace. Before assuming her current role, she served in various positions, where she helped to facilitate the creation of an award-winning diversity leadership council and employee resource group program; launched formal mentoring programs; oversaw the implementation of organization-wide diversity education; and made significant enhancements to flexible work arrangements, gender- and LGBTQ-inclusive policies and other diversity programming efforts. In 2019, Ms. Pendergrass Lee was recognized by The Network Journal as an Influential Black Woman in Business. She also serves on the board of the Center for Workforce Compliance and as a member of the Tanenbaum Workplace Advisory Council.
Prior to joining FINRA, Ms. Pendergrass Lee worked as a diversity program manager, new service development director and paralegal in a variety of industries, including the military, financial services, distribution and educational services.
Ms. Pendergrass Lee, a Life Member of Alpha Kappa Alpha Sorority, Inc., earned her Bachelor of Arts in Political Science from the University of South Carolina, and her master's degree in Organizational Management from the University of Phoenix. She has continued her studies at the University of Maryland University College and Aresty Institute of Executive Education at The Wharton School, University of Pennsylvania.
Job Titles:
- Member of the Investor Issues Committee
Natalie Meyer - Chief Compliance Officer, SVP
Job Titles:
- Chief Compliance Officer
- Senior Vice President
Job Titles:
- Member of the Small Firm Advisory Committee
- Member of Committee
Job Titles:
- Senior Advisor
- Senior Vice President
- Senior Vice President and Senior Advisor to the CEO
Nathaniel Stankard is Senior Vice President and Senior Advisor to the CEO.
Mr. Stankard joined FINRA in 2017. Prior to joining FINRA, he worked for the U.S. Securities and Exchange Commission for seven years. He first served as the Counsel to the Director of the Division of Trading and Markets and later as the Deputy Chief of Staff for Policy in the Office of Chair Mary Jo White, where he managed the rulemaking agenda of the Commission; advised the Chair on a diverse range of complex legal and policy matters; coordinated cross-agency staff teams comprised of policy, legal and economic experts; and represented the Chair in negotiations with other agencies and market participants.
His financial industry background also includes Morgan Stanley, where he was an Executive Director in what is now the Global Sustainable Finance Group, and Cleary Gottlieb Steen & Hamilton LLP, where he was an associate responsible for complex securities law matters.
Mr. Stankard received a Bachelor of Arts Degree in Economics from Oberlin College and received his J.D. from Harvard Law School.
Job Titles:
- Senior Vice President / Member Supervision
Job Titles:
- Member of the Small Firm Advisory Committee
- Bley Investment Group, Inc
- Ex - Officio
- Member of Committee
Job Titles:
- Deputy General Counsel
- Senior Vice President
Job Titles:
- Member of the Large Firm Advisory Committee
- Member of the Membership Committee
- Member of the Small Firm Advisory Committee
- Member of Committee
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- Member of the Corporate Financing Committee
- Member of Committee
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- Member of the Investor Issues Committee
- Retired from Capital Research and Management Co
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- First Citizens Investor Services / Raleigh, NC
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- Commonwealth Financial
- Member of Committee
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- Dean Witter Reynolds, Inc
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- Senior Vice President and Director of Capital Markets in FINRA 's Office
Racquel Russell is Senior Vice President and Director of Capital Markets in FINRA's Office of General Counsel (OGC). In this role, Ms. Russell oversees the Capital Markets Office as it develops new policy initiatives, provides counsel to the Department of Market Regulation and Transparency Services, and supports the fixed income examinations of the Member Supervision Department. She also provides expert guidance to the FINRA Board of Governors and senior management.
Ms. Russell joined OGC in 2008 and previously served as an Associate General Counsel and an Assistant General Counsel. Prior to joining FINRA, Ms. Russell was a Vice President in the Legal and Compliance Department at J.P. Morgan, London, UK. She also worked in a variety of legal roles at the U.S. Securities and Exchange Commission, including as a Branch Chief for Trading Practices in the Division of Trading and Markets.
Ms. Russell earned a B.A. in Psychology from Canisius College and J.D. and M.B.A. degrees from the State University of New York at Buffalo, School of Law and School of Management.
Job Titles:
- Chief Human Resources Officer
- Executive Vice President
- Executive Vice President - Chief Human Resources Officer
Rainia L. Washington is Executive Vice President - Chief Human Resources Officer. In this role, she leads FINRA's People Solutions team, overseeing the organization's talent recruitment, training and development, diversity and inclusion, compensation and benefits, and employee relations.
Ms. Washington joined FINRA in June 2020 from Lockheed Martin Corporation, where she held a variety of Human Resources positions during her 26-year career with the company. Most recently, Ms. Washington was Lockheed Martin's Chief Diversity and Inclusion Officer, responsible for developing and executing global strategies that cultivated and maintained a culture of inclusion for the company's 110,000 employees worldwide. She led the company's Executive Inclusion Council in partnership with the CEO and senior executive leadership.
Ms. Washington currently serves on the Great Minds in STEM Board of Directors and has served on the Society of Women Engineers Board of Directors, INROADS Board of Directors, Georgia Diversity Council Board of Directors, and the University of Pennsylvania Engineering Board. She is actively involved in her community through various organizations, including Wiley Tutoring Program, Big Brother Big Sister Program and Delta Sigma Theta Sorority Incorporated.
Ms. Washington received a BS in Systems Engineering from the University of Pennsylvania and an MBA in Organizational Development from Pennsylvania State University.
Job Titles:
- Member of the Clearing Firm Advisory Committee
- Member of Committee
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- Dean Witter & Co., Los Angeles, CA
Job Titles:
- Member of the Membership Committee
- Financial Services
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- Executive Vice President and Director of FINRA Dispute Resolution Services
Job Titles:
- Member of the Economic Advisory Committee
- Member of Committee
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan and Finance Committee Chair Jim Weddle to discuss rulemaking and other issues addressed at FINRA's December 5 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
Job Titles:
- Member of the Economic Advisory Committee
- Member of Committee
Job Titles:
- Member of the Market Regulation Committee
- Member of Committee
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- Sorrento Pacific Financial, LLC
Job Titles:
- Chief Legal Officer
- Executive Vice President
- Member of the Investor Issues Committee
- Chief Legal Officer, FINRA ( Financial Industry Regulatory Authority )
As Chief Legal Officer of FINRA, Robert Colby oversees FINRA's rulemaking, interpretive, and corporate legal functions, as well as FINRA's Appellate Office, Office of Financial Innovation, and Departments of Advertising, Corporate Financing, and Dispute Resolution.
Previously, Mr. Colby was a partner in the law firm of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters for financial institutions and markets.
Before joining Davis Polk, Mr. Colby served as Deputy Director in the SEC's Division of Trading and Markets. In that capacity, he was responsible for the regulation of broker-dealers, markets, and clearing organizations. Before serving as Deputy Director of the Division, Mr. Colby was Chief Counsel, and Chief of the Market Structure Branch.
Mr. Colby received his J.D. cum laude from Harvard Law School and his undergraduate degree summa cum laude from Bowdoin College.
Job Titles:
- Member of the Fixed Income Committee
- Member of Committee
Job Titles:
- Senior Vice President, Finance and Administration
Job Titles:
- the Wisconsin Company, Milwaukee, WI / 1941
Job Titles:
- Chief Executive Officer
- Member of the Executive Committee
- Member of the FINRA Executives Team
- President
- Ex - Officio
- Member of Committee
- Read CEO
- Read President and CEO
Read CEO Robert Cook's email to firms previewing topics the Board is scheduled to discuss at the July 2022 FINRA Board of Governors Meeting.
FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.
Read President and CEO Robert Cook's post-meeting email to firms highlighting the May 2019 FINRA Board of Governors meeting.
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the December 2017 FINRA Board of Governors meeting, including discussions around FINRA's finances and financial transparency, 2017 accomplishments, enterprise risk management and more.
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the September 2017 FINRA Board of Governors meeting, including the rule proposals, committee news and other items that were discussed.
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's March Board of Governors meeting.
Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation.
From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division's professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on proposed rule filings from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing a range of initiatives and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff's review of equity market structure.
Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner at Cleary, Gottlieb, Steen & Hamilton, LLP, based in Washington, DC. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters.
Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.
Job Titles:
- Dean Witter & Co. Incorporated, New York, NY
Job Titles:
- Member of the Clearing Firm Advisory Committee
- Correspondent Clearing Intl FCStone Inc
- Member of Committee
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- Manning & Napier Investor Services, Inc
Job Titles:
- Member of the Corporate Financing Committee
- Citigroup Global Markets Inc
- Member of Committee
Job Titles:
- Vice President and Ombudsman
As FINRA's Ombudsman, Sarah Gill serves as an independent, neutral and confidential resource for investors, brokerage firms, individual brokers, FINRA staff and other stakeholders who have questions or concerns regarding activities of FINRA and its employees. She advocates for fair processes and the fair administration of FINRA's processes.
Ms. Gill previously led FINRA's State Government Affairs program, providing strategic advice on policy issues and fostering FINRA's relationships and collaboration with the North American Securities Administrators Association (NASAA) and state securities regulators.
Prior to joining FINRA, Ms. Gill was a Senior Vice President at LPL Financial, with roles including Head of Regulatory Policy and Associate General Counsel. She has also served as an Assistant General Counsel in FINRA's Office of General Counsel, a Counsel at WilmerHale and a law clerk for the Honorable Ricardo Urbina, U.S. District Judge for the District of Columbia. Ms. Gill began her legal career as an officer in the U.S. Navy JAG Corps, with assignments as a military prosecutor at Naval Station Pearl Harbor, legal advisor to the NCIS Hawaii Field Office and a Special Assistant U.S. Attorney at the U.S. Attorney's Office in Honolulu.
Ms. Gill obtained her Juris Doctor from the UCLA School of Law and a Bachelor of Arts magna cum laude in biomedical ethics from the University of Pennsylvania.
Job Titles:
- Member of the Clearing Firm Advisory Committee
- Member of Committee
- RBC Wealth Management - U.S
Job Titles:
- Member of the Membership Committee
Job Titles:
- Member of the Membership Committee
Job Titles:
- Member of the Membership Committee
- Cambridge Investment Research, Inc
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- St. Bernard Financial Services
Job Titles:
- Executive Vice President
- Executive Vice President, Market Regulation and Transparency Services
Stephanie Dumont is Executive Vice President, Market Regulation and Transparency Services. Working closely with the SEC and the exchanges, FINRA's Market Regulation and Transparency Services Department conducts extensive oversight of the securities markets to protect investors and preserve market integrity. In addition to FINRA's regulatory responsibilities for the entire over-the-counter market, its cross-market program covers 100 percent of U.S. equity market activity and approximately 45 percent of options contract volume. The Department combines examinations of member firms and innovative automated surveillance that assesses billions of market events each day to identify potential manipulation or fraud, and to supervise firms' compliance with FINRA rules and federal securities laws. The Department also brings transparency to the equity and bond markets to help investors make informed investment decisions and improve supervision by regulators and firms. FINRA operates facilities that create the foundation of the regulatory audit trail in the securities markets and provides investors with timely quote and trade information, including TRACE (the Trade Reporting and Compliance Engine), the Trade Reporting Facilities, the Alternative Display Facility and the Over-the-Counter Reporting Facility.
Previously, Ms. Dumont was Senior Vice President and Director of Capital Markets Policy for FINRA's Office of General Counsel, where she was responsible for leading the development and interpretation of FINRA rules for market regulation, and providing legal and policy advice to FINRA management and staff. Among other areas, she was responsible for leading the policy and rulemaking legal team addressing trading and customer order handling practices, order audit trails and market structure for equity, options and fixed income securities. Dumont also supported the policy, rulemaking and regulatory reporting functions relating to FINRA's market transparency facilities, including the Trade Reporting Facilities, the OTC Reporting Facility, the Alternative Display Facility and Trade Reporting and Compliance Engine (TRACE). In addition, she provided legal counsel for FINRA's participation in various National Market System Plans, including the Consolidated Audit Trail (CAT), the Securities Information Processors and the Limit Up/Limit Down Plans.
Prior to joining FINRA's Office of General Counsel, Ms. Dumont was Director of Compliance for a broker-dealer compliance consulting firm. Prior to that position, Ms. Dumont conducted investigations for NASD's Market Regulation Department in areas such as insider trading, fraud, short selling and options. Ms. Dumont earned her B.S. in Finance and Management from the University of Virginia and her J.D. from the University of Virginia School of Law. She also earned her LL.M, with distinction, in Securities and Financial Regulation from Georgetown University Law Center.
Job Titles:
- Member of the Large Firm Advisory Committee
Job Titles:
- Member of the Investor Issues Committee
- Retired from the SEC
Job Titles:
- Chief Information Officer
- Executive Vice President
- Executive Vice President and Chief Information Officer ( CIO ), Oversees Technology
- Executive Vice President and CIO, Technology
Steven J. Randich, Executive Vice President and Chief Information Officer (CIO), oversees technology at FINRA.
Previously, Mr. Randich served as Co-CIO at Citigroup, and CIO and Global Head of Technology for Citigroup's Institutional Clients Group. Prior to joining Citigroup, he was Executive Vice President of Operations and Technology and CIO at NASDAQ, where he was responsible for all aspects of NASDAQ technology, including applications development and technology infrastructure.
From 1996 to 2000, Mr. Randich served as Executive Vice President and CIO for the Chicago Stock Exchange. He was responsible for all technology, trading-floor and back-office operations, and business product planning and development. Prior to joining the Chicago Stock Exchange, Mr. Randich was a Managing Principal at IBM Global Services and a Manager at KPMG.
Mr. Randich has an undergraduate degree in computer science from Northern Illinois University and an M.B.A. from the University of Chicago.
Job Titles:
- Member of the Large Firm Advisory Committee
- Investment Services
Job Titles:
- Member of the Corporate Financing Committee
- Member of Committee
Job Titles:
- Member of the Conflicts Committee
- Member of the Executive Committee
- Member of the Investment Committee
- Chairman of Committee
The Executive Committee is authorized to exercise all the powers and authority of the Board in the management of the business and affairs of the Corporation between meetings of the Board.
Job Titles:
- Chief Administrative Officer
- Chief Financial Officer
- Executive Vice President
- Executive Vice President - Chief Financial Officer and Chief Administrative Officer
Todd Diganci is Executive Vice President-Chief Financial Officer and Chief Administrative Officer. In this capacity, he is responsible for providing financial and administrative leadership for the organization. Specifically, he provides direction and oversight on all accounting, investments, tax, financial and administrative areas including real estate, business continuity planning and insurable risk management. In addition, he oversees the organization's strategic planning and enterprise risk management programs and its Credentialing, Registration, Education and Disclosure (CRED) operations. Mr. Diganci also serves as the liaison for the Finance & Operations and Investment Committees of the FINRA Board.
Since joining FINRA in 1995, Mr. Diganci has played a critical role in transforming and shaping the organization where it stands today. He has led several key transactions from a financial and human resource perspective, including the unprecedented private placement of The NASDAQ Stock Market, which raised over $1.6 billion in proceeds; and the consolidation of NASD and the member regulation, enforcement and arbitration functions of NYSE Regulation to create FINRA in 2007. He also co-led negotiations with NYSE-Euronext for FINRA to perform full market regulation services for the exchange. Most recently, Mr. Diganci oversaw the creation of FINRA CAT, the subsidiary of FINRA that is the Plan Processor for the Consolidated Audit Trail (CAT), and currently serves on the FINRA CAT Board of Directors.
Mr. Diganci started his career with Marriott International. During his 10 years at Marriott, Mr. Diganci oversaw 150 operations worldwide, generating revenues in excess of $1 billion. He also played an essential role in role in spinning off Host-Marriott from Marriott International into a successful public offering in 1993.
Mr. Diganci received his bachelor's degree in accounting and computer information systems and an MBA from Drake University. Mr. Diganci is also a graduate of the Advanced Management Program at Harvard University's Business School. He currently serves on the Board of the SIFMA Investor Education Foundation.
Job Titles:
- Davidson & Co
- Member of Committee
Job Titles:
- Member of the Investor Issues Committee
- Retired from the Employee Retirement System
Job Titles:
- Chairman of the Small Firm Advisory Committee
- Chairman of Committee
Job Titles:
- Member of the Fixed Income Committee
- Member of Committee
Job Titles:
- Member of the Nominating & Governance Committee
- Member of the Small Firm Advisory Committee
- Ex - Officio
- Member of Committee
Job Titles:
- Member of the Financial Responsibility Committee
- Member of Committee