Industry Governor (Floor Member)President and Co-Head, Merrill Wealth ManagementGovernor Since 2024Committees: Nominating & Governance Committee, Regulatory Policy CommitteeProfessional ExperienceMerrill LynchPresident and Co-Head, Merrill Wealth Management (2023 – Present)Managing Director (2007 – 2010 and 2014 – 2023)Director, Vice President (1994 – 2007)
FINRA assesses and collects regulatory fees that fund FINRA's regulatory activities, including the Gross Income Assessment (GIA), Personnel Assessment and Branch Assessment Fees, as well as user fees for the services FINRA provides.
The Audit & Risk Committee (Committee) is a standing committee of the FINRA Board of Governors (Board). This Charter and the FINRA Governance Guidelines govern the operations of this Committee.
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.Upcoming WebinarsFinancial Crimes Spotlight Webinar; Third-Party FraudThursday, April 3, 20254:00 p.m. – 5:00 p.m.REGISTER NOWPrevious
