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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.
2023-01-25T14:58:00Z By CW Staff
The Financial Industry Regulatory Authority announced longtime Head of Enforcement Jessica Hopper will depart Feb. 3.
2024-12-20T17:39:00Z By Aaron Nicodemus
USAA Federal Savings Bank has been hit with its third cease and desist order from the Treasury Department’s Office of the Comptroller of the Currency in the past five years for failing to correct unsafe and unsound banking practices.
2024-12-20T13:46:00Z By CW Staff
National Philanthropic Trust announced the appointment of Tamara Watts, vice president, legal and general counsel for The Susan Thompson Buffett Foundation, to its board of trustees.
2024-12-20T13:35:00Z By CW Staff
Succession Resource Group, a consulting firm specializing in wealth management business valuations, employment solutions, succession planning, and M&A transactions, announced the appointment of Todd Fulks as general counsel.
2024-12-20T13:28:00Z By CW Staff
Formic, which specializes in robotics, industrial automation, and manufacturing, announced the addition of Todd Plotner as the company’s first general counsel.
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