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- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Jeff Dale2024-07-23T16:57:00
The Financial Industry Regulatory Authority (FINRA) announced the appointments of Tina Gubb, effective Monday, and Julie Glynn, effective Sept. 1, as senior vice presidents of enforcement.
Both will report to Bill St. Louis, executive vice president and head of enforcement at the self-regulatory agency, FINRA announced in a press release Wednesday.
“[Glynn] and [Gubb] possess exemplary legal expertise, as well as superior leadership skills. I am confident [they] have the breadth of experience, strategic thinking, and agility needed to help lead our teams in pursuit of FINRA’s mission of investor protection and market integrity,” St. Louis said in the release.
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News and analysis for the well-informed compliance or audit exec. Select an option and click continue.
Annual Membership $499 Value offer
Full price one year membership with auto-renewal.
Membership $599
One-year only, no auto-renewal.
2023-11-30T22:06:00Z By Kyle Brasseur
Bank of America Securities agreed to pay $24 million in settling with the Financial Industry Regulatory Authority for allegedly failing to supervise the “spoofing” activities of two former traders in U.S. Treasury markets.
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The Financial Industry Regulatory Authority announced longtime Head of Enforcement Jessica Hopper will depart Feb. 3.
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Commercial real estate finance and advisory services firm Walker & Dunlop announced that Dan Groman will be its executive vice president, general counsel, secretary and chief compliance officer.
2024-11-19T13:56:00Z By CW Staff
MVB Financial Corp has named Joe Rodriguez as chief risk officer.
2024-11-19T13:51:00Z By CW Staff
Bravo Property Trust, an affiliate of Bravo Capital and a leading privately held bridge and construction financing platform, announced the addition of Deborah Ginsberg as the chief operating officer and general counsel.
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