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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.
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Our lowest price ($1 per day) for one year.
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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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Seminole Hard Rock Support Services announced the promotion of Chief Diversity and Inclusion Officer Stephanie Piimauna to senior vice president of people and inclusion.
2024-07-23T15:44:00Z By CW Staff
Luxury group Kering Americas announced the promotion of General Counsel Ewa Abrams to president, effective Aug. 1.
2024-07-23T15:43:00Z By CW Staff
HanAll Biopharma announced the appointment of Christopher Slavinsky as chief business development and legal officer.
2024-07-23T15:42:00Z By CW Staff
VersaBank announced the appointment of Tim Bloom as chief risk officer.
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