The Financial Industry Regulatory Authority (FINRA)
has appointed Julie Glynn and Tina Gubb as Senior Vice Presidents of
Enforcement. In a statement today
(Wednesday), FINRA mentioned that the new appointments will enhance the
organization’s mission to protect investors and maintain market integrity.
Strengthening Enforcement Leadership
Glynn and Gubb bring a wealth of experience
and expertise to their new roles. Reporting directly to Bill St. Louis, the Executive Vice President and Head of Enforcement, the two will
reportedly act as senior legal advisors. They will oversee high-impact
investigations and disciplinary actions across the Enforcement department.
Glynn and Gubb will also lead the enforcement attorney teams and
collaborate with FINRA’s regulatory operations to support the organization-wide
execution of its mission. Their responsibilities include overseeing four chief
counsel enforcement teams each, with Glynn also overseeing enforcement litigation.
About the new appointments, St. Louis said: "Julie and
Tina possess exemplary legal expertise, as well as superior leadership skills.
I am confident that both Julie and Tina 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."
Glynn joins FINRA from JP Morgan Chase, where she
served as General Counsel for its wealth management line of business since
2019. During her tenure at JP Morgan, she advised on significant issues, such as
creating a new remote advisory channel and enhancements to the firm’s
self-directed digital channel.
She also managed teams handling government
investigations and interactions with regulators, including FINRA and the SEC.
Returning to FINRA, where she previously worked from 2005 to 2011 as an
Enforcement attorney, Glynn brings valuable insight and experience from her
roles at Morgan Stanley and Morrison & Foerster.
Extensive Tenure at FINRA
Gubb’s long-standing career at FINRA began in 1998 as
an analyst in the Office of Fraud Detection and Market Intelligence. Over the
years, she advanced through various roles, focusing on fraudulent practices,
market manipulation, and insider trading. Gubb has led high-profile investigations and
settlements, including a $24 million settlement with BofA Securities in 2023
for spoofing in Treasury securities.
As Chief Counsel, Gubb supervised matters related to
Regulation NMS, Regulation SHO, and best execution. Her extensive experience in
enforcement positions since 2002 has prepared her well for her new role as
Senior Vice President.
This article was written by Jared Kirui at www.financemagnates.com.
