FINRA announced the appointment of Julie Glynn and Tina Gubb as Senior Vice Presidents of Enforcement.
Gubb’s appointment will be effective on July 22, while Glynn’s will be in September. Both will report to Bill St. Louis, Executive Vice President and Head of Enforcement at FINRA.
In their new roles, Glynn and Gubb will act as principal legal advisors to St. Louis, responsible for advising on high-impact investigations and disciplinary actions across the Enforcement department.
They will also lead the Enforcement attorney teams and work across all of FINRA’s regulatory operations to support the organization’s mission of investor protection and market integrity, according to the announcement.
Glynn and Gubb will each oversee four Enforcement Chief Counsel teams, and the Enforcement Litigation team will report to Glynn.
“Julie and Tina possess exemplary legal experience as well as superior leadership ability. I am confident that both Julie and Tina have the breadth of experience, strategic thinking, and agility needed to help lead our teams in pursuing FINRA’s mission of investor protection and market integrity,” said St. Louis.
Glynn joins FINRA from J.P. Morgan Chase, where she has been General Counsel for its wealth management business line since 2019. In that role, Glynn and the legal team she leads have advised the business on issues ranging from the creation of a new remote advice channel to enhancements to the firm’s self-directed digital channel.
She has also held other leadership roles at the company, including head of the team responsible for governmental investigations and relations with FINRA, the SEC, and other regulatory bodies. Glynn returns to FINRA, having worked as an Enforcement attorney from 2005 to 2011. Before her time at FINRA, she worked at Morgan Stanley and Morrison & Foerster.
Gubb, on the other hand, 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 has held increasingly responsible Enforcement positions since 2002.
As a principal advisor, Gubb led and supervised several high-profile matters primarily focused on NMS Regulations, SHO Regulations, market manipulation, best execution, and supervision.
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