FINRA Appoints Julie Glynn and Tina Gubb as SVPs of Enforcement
2024年7月18日 - 12:39AM
ビジネスワイヤ(英語)
FINRA announced today that it has appointed Julie Glynn and Tina
Gubb as Senior Vice Presidents of Enforcement. Gubb’s appointment
is effective July 22, while Glynn’s appointment is effective in
September. Both will report to Bill St. Louis, Executive Vice
President and Head of Enforcement at FINRA.
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Julie Glynn (Photo: Business Wire)
In the newly created roles, Glynn and Gubb will act as senior
legal advisors to St. Louis, responsible for advising on
high-impact investigations and disciplinary actions across the
Enforcement department. Glynn and Gubb will also lead the
Enforcement attorney teams and work across FINRA’s regulatory
operations to support the organization-wide execution of FINRA’s
mission of investor protection and market integrity.
Glynn and Gubb will each oversee four chief counsel Enforcement
teams. In addition, Enforcement Litigation will report to
Glynn.
“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,” said St. Louis, whose
previously published objectives are detailed here.
Glynn joins FINRA from J.P. Morgan Chase, where since 2019 she
has been General Counsel for its wealth management line of
business. In that role, Glynn and the legal team she manages have
advised the business on issues ranging from the creation of a new
remote advisory channel to enhancements to the firm’s self-directed
digital channel. She has also held other senior roles at the firm,
including manager of the team that conducted government
investigations and interfaced with FINRA, the Securities and
Exchange Commission and other regulators. Glynn is returning to
FINRA as she previously worked at FINRA from 2005 to 2011 as an
Enforcement attorney. Prior to working at FINRA, she worked at
Morgan Stanley and Morrison & Foerster.
Gubb joined FINRA in 1998. She began as an analyst in the Office
of Fraud Detection and Market Intelligence, where she worked on
investigations related to fraudulent practices, pump and dump
schemes, wash sales and insider trading; and in Enforcement
positions of increasing responsibility since 2002. As a Chief
Counsel, Gubb led and supervised various high-profile matters
primarily focused on Regulation NMS, Regulation SHO, market
manipulation, best execution and supervision. One notable example
is the $24 million settlement in November 2023 with BofA Securities
for engaging in hundreds of instances of spoofing in Treasury
securities and related supervisory failures.
About FINRA
FINRA is a not-for-profit organization dedicated to investor
protection and market integrity. FINRA regulates one critical part
of the securities industry—member brokerage firms doing business in
the U.S. FINRA, overseen by the SEC, writes rules, examines for and
enforces compliance with FINRA rules and federal securities laws,
registers broker-dealer personnel and offers them education and
training, and informs the investing public. In addition, FINRA
provides surveillance and other regulatory services for equities
and options markets, as well as trade reporting and other industry
utilities. FINRA also administers a dispute resolution forum for
investors and brokerage firms and their registered employees. For
more information, visit www.finra.org.
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