WASHINGTON—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.
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.