The authority has appointed Julie Glynn and Tina Gubb to oversee high-impact investigations and disciplinary actions across the enforcement department.
Gubb has led high-profile investigations and settlements at FINRA, including a $24 million settlement with BofA Securities in 2023 for spoofing in Treasury securities.
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 and 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.
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 and 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.
Praxis Digital Trading Names Bea Picciano as Chief Operating Officer
Executive Interview with Adam Saward | EC Markets | FMLS:24
Executive Interview with Adam Saward | EC Markets | FMLS:24
Executive Interview with Adam Saward | EC Markets | FMLS:24
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Executive Interview with Adam Saward | EC Markets | FMLS:24
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Executive Interview with Johnny Khalil | Tickmill | FMLS:24
Executive Interview with Johnny Khalil | Tickmill | FMLS:24
Executive Interview with Johnny Khalil, Executive Director at Tickmill during FMLS:24
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Executive Interview with Johnny Khalil, Executive Director at Tickmill during FMLS:24
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How Modern Consumer Habits Are Transforming Global Payments
How Modern Consumer Habits Are Transforming Global Payments
The evolution of consumer expectations is reshaping the payments sphere worldwide. From seamless in-store purchases to instant cross-border transfers, the demand for secure and frictionless payment solutions is transforming how businesses and financial institutions approach transactions. But what does this mean for the future of payments, and how can organizations keep up?
On December 4, 2024, Finance Magnates, in partnership with @Visa Direct, hosted a live webinar dedicated to exploring these pressing questions. Industry experts will provided actionable insights into the trends, challenges, and opportunities in global payments, equipping attendees with the tools they need heading into 2025.
DISCLAIMER:
The views and opinions expressed in this webinar are those of the speakers and do not necessarily reflect the views or positions of any entities they represent (including, but not limited to their respective parent companies or affiliates). The views and opinions expressed are based upon information the speakers consider reliable and are intended for informational purposes only and should not be relied upon for operational, marketing, legal, technical, tax, financial or other advice. No party (speaker or the entities they represent) makes any warranty or representation as to the completeness or accuracy of the information within this webinar, nor assumes any liability or responsibility that may result from reliance on such information. The information contained herein is not intended as investment or legal advice, and readers are encouraged to seek the advice of a competent professional where such advice is required.
#FinanceMagnates #VisaDirect #GlobalPayments #FutureOfPayments #PaymentsInnovation #CrossBorderPayments #SecurePayments #SeamlessTransactions #FinancialInsights #PaymentsTrends #WebinarRecap #BusinessFinance #DigitalPayments #FintechInsights #Payments2025
The evolution of consumer expectations is reshaping the payments sphere worldwide. From seamless in-store purchases to instant cross-border transfers, the demand for secure and frictionless payment solutions is transforming how businesses and financial institutions approach transactions. But what does this mean for the future of payments, and how can organizations keep up?
On December 4, 2024, Finance Magnates, in partnership with @Visa Direct, hosted a live webinar dedicated to exploring these pressing questions. Industry experts will provided actionable insights into the trends, challenges, and opportunities in global payments, equipping attendees with the tools they need heading into 2025.
DISCLAIMER:
The views and opinions expressed in this webinar are those of the speakers and do not necessarily reflect the views or positions of any entities they represent (including, but not limited to their respective parent companies or affiliates). The views and opinions expressed are based upon information the speakers consider reliable and are intended for informational purposes only and should not be relied upon for operational, marketing, legal, technical, tax, financial or other advice. No party (speaker or the entities they represent) makes any warranty or representation as to the completeness or accuracy of the information within this webinar, nor assumes any liability or responsibility that may result from reliance on such information. The information contained herein is not intended as investment or legal advice, and readers are encouraged to seek the advice of a competent professional where such advice is required.
#FinanceMagnates #VisaDirect #GlobalPayments #FutureOfPayments #PaymentsInnovation #CrossBorderPayments #SecurePayments #SeamlessTransactions #FinancialInsights #PaymentsTrends #WebinarRecap #BusinessFinance #DigitalPayments #FintechInsights #Payments2025
Executive Interview with Elina Pedersen | Your Bourse | FMLS:24
Executive Interview with Elina Pedersen | Your Bourse | FMLS:24
Executive Interview with Elina Pedersen, Chief Revenue Officer at Your Bourse at the Finance Magnates London Summit 2024
#fmls #fmls24 #fmevents #RetailTrading #FintechInnovation #nvidia #DigitalAssets #GlobalFinance #globalbanking
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Executive Interview with Elina Pedersen, Chief Revenue Officer at Your Bourse at the Finance Magnates London Summit 2024
#fmls #fmls24 #fmevents #RetailTrading #FintechInnovation #nvidia #DigitalAssets #GlobalFinance #globalbanking
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Executive Interview with Rauan Khassan | TradingView | FMLS:24
Executive Interview with Rauan Khassan | TradingView | FMLS:24
Executive Interview with Rauan Khassan from TradingView at the Finance Magnates London Summit 2024
#fmls #fmls24 #fmevents #RetailTrading #FintechInnovation #nvidia #DigitalAssets #GlobalFinance #globalbanking
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Executive Interview with Rauan Khassan from TradingView at the Finance Magnates London Summit 2024
#fmls #fmls24 #fmevents #RetailTrading #FintechInnovation #nvidia #DigitalAssets #GlobalFinance #globalbanking
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