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FINRA
About
FINRA is a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly.
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Team
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Robert W. Cook
President and CEO
Bari Havlik
EVP, Member Supervision
Todd T. Diganci
EVP, Chief Financial Officer and Chief Administrative Officer
Steven J. Randich
EVP and CIO, Technology
Marcia E. Asquith
EVP, Board and External Relations
Robert L.D. Colby
Chief Legal Officer
Jessica Hopper
EVP and Head of Enforcement
Michael Hourigan
SVP and Chief Audit Executive
Alan Lawhead
VP and Director, Appellate Group
Bill St. Louis
SVP, Member Supervision
Bill Wollman
EVP, Head of Office of Financial and Operational Risk Policy
Christopher Kelly
SVP, Enforcement
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