2021 FINRA Firm Grouping Member Forum: Capital Markets & investment Banking Speaker Biographies

2021 FINRA Firm Grouping Member Forum: Capital Markets & investment Banking
Speaker Biographies

Keith Bettencourt has been with FINRA as Exam Manager since 2017 in the Long Island Of f ice and Retail
Firm Grouping bef ore joining the Cybersecurity team in 2020. Prior to FINRA, Mr. Bettencourt was most
recently a Compliance Director at First Empire Securities, Inc. an institutional f ixed income BD, and bef ore
that worked in the Compliance Department at Capital One Investing f or seven years. There he held several
positions including serving as its Chief Compliance Of f icer in 2016, where he was responsible f or the
traditional bank-BD and self -directed online (f /k/a Sharebuilder) platf orms. Mr. Bettencourt led several
technology-based ef f orts while at Capital One, including acting as Data Steward f or the f irm’s compliance
applications, leading the compliance and regulatory governance (GRC) ef f orts, implementation and ongoing
monitoring of the f irm’s vendors, and served as compliance advisor on the f irm’s agile technology
development teams. Prior to Capital One, Mr. Bettencourt held compliance and supervisory positions at
HSBC Securities, and was a Sales Practice Review Unit examiner on the Risk Team at NYSE Regulation in
2006. Mr. Bettencourt ‘s career in supervision and compliance began at Edward Jones in St. Louis in 2003
where he supervised approximately 125 RRs while also perf orming branch inspections. He has held other
operational and sales positions with SWS Securities, First Union Securities, and PaineWebber. Mr.
Bettencourt graduated f rom Oswego State University with a Bachelor of Arts in Public Justice. He holds CISA,
CAMS, and CFE designations, and has also served as an industry arbitrator with FINRA Dispute Resolution.
He also holds an Inf ormation Security and Risk Management certif icate program f rom the University of
Washington.

Steven Brooks began his regulatory career as an examiner at the National Association of Securities Dealers
in District 10 in 1994. In 1996, he joined the New York Stock Exchange and remained there through the
inception of FINRA. At FINRA, Mr. Brooks served in various roles in the examination and risk monitoring
programs. From 1990 to 1994, he worked at Prudential Securities Inc. in several roles within operations. In
1989 Mr. Brooks graduated f rom SUNY College at New Paltz with a B.S. in accounting and later received an
MBA in Finance and Investments f rom Baruch College in 1997.

Roberta Devorsky is Principal Analyst, Risk Monitoring in the Capital Markets and Investment Banking
Group within Member Supervision. In this role, Ms. Devorsky serves as the primary contact f or her assigned
member f irms, providing assistance with respect to compliance with both FINRA and SEC rules, and
monitoring the business activities and risks related to their business models. Prior to joining FINRA, Ms.
Devorsky worked within the broker dealer community f or more than 10 years at both NYSE and NASD
member f irms holding such securities licenses as the Series 3, 7, 9, 10, 24, 53, 63, and 63 as well as a Life
and Health Insurance Producer license. Earlier positions included Director of Compliance; District Risk Of f icer
- Vice President; as well as Complex Risk Manager.

Alif Dhanidina is Principal Regulatory Coordinator in the Los Angeles District Of f ice of FINRA. Mr.
Dhanidina’s responsibilities include conducting risk assessments of member f irms, planning f irm
examinations, and conducting f irm examinations. Prior to joining FINRA, Mr. Dhanidina spent seven years as
a Senior Counsel in the SEC Of f ice of Compliance Inspections and Examinations in Washington DC. Previous
to the SEC, Mr. Dhanidina was employed by the Illinois Securities Department as an Enf orcement Attorney.

Patricia Dorilio is Associate Director in the Membership Application Program (MAP) group at FINRA, a
position she has held since October 2019. Ms. Dorilio oversees a team of managers and examiners in the
execution of the application review program, including expedited reviews where applicable, to determine
applicants’ satisf action of standards f or FINRA membership, and standards f or f irms’ continuation of
membership. This includes the review and analysis of inf ormation and documentation relating to proposed
business activities and securities products, and f irms’ structural and ownership changes. She has also
completed the FINRA Excellence in Management Program at Wharton. Prior to joining MAP in 2011 as a
MAP examiner, Ms. Dorilio was employed in the private sector, and immediately prior to that, held the position
of Senior Special Counsel at the New York Stock Exchange. She began her career as an Assistant Attorney

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General in the New York State Attorney General’s Of f ice. Ms. Dorilio earned her Juris Doctor f rom the Maurice
A. Dean School of Law at Hof stra University, and a B.A. in Political Science f rom Hof stra University. She is a
member of the bar of the State of New York.

Ann Duguid is Senior Director in the Of f ice of Financial and Operational Risk Policy. In this role, she works
closely with FINRA’s Member Supervision team providing both accounting policy and f inancial and
operational interpretive guidance related to both introducing and clearing broker dealers. Prior to joining
FINRA, Mrs. Duguid worked at J.P. Morgan & Co., where she held various positions, including legal entity
controller of J.P. Morgan Securities LLC., regulatory reporting manager (SEA 15c3-1, 15c3-3 and CFTC
regulatory reporting), line of business controller f or U.S. f utures and options clearing and global OTC
derivatives brokerage businesses. A Certif ied Public Accountant with more than 25 years of experience, Ms.
Duguid began her career as an auditor at Arthur Andersen & Co. She holds a BBA in Accounting and
Management Inf ormation Systems f rom Loyola College in Baltimore, MD.

Catherine Dunn is Examination Director in the Capital Markets Firm Examination Group within FINRA’s
Member Supervision Department. Ms. Dunn has been in this role since June 2020 and is based in the New
Jersey Of f ice. In this position, Ms. Dunn is responsible f or leading a team of Examination Managers and
Examiners who execute f irm examinations. Ms. Dunn was an Examination Manager f or 19 years in the New
Jersey Of f ice and has been associated with FINRA’s Examination Program since joining FINRA in1999.
Previously, Ms. Dunn worked at Merrill Lynch as a Senior Accountant in Financial Reporting and as an Auditor
in the banking industry. Ms. Dunn has a B.S. in Accounting f rom Rutgers University.

Ira Gluck is Director in FINRA’s Advertising Regulation Department. In this role, he works on rulemaking and
policy issues and is responsible f or the Department’s complex review and spot-check programs. Mr. Gluck’s
previous positions within FINRA included leading the Emerging Regulatory Issues team as well as heading
the Strategic Initiatives Group in FINRA’s Enf orcement Department. He also served in various investigative
and management roles in the Enf orcement and Member Regulation Departments of NASD bef ore its 2007
consolidation with NYSE Member Regulation, which resulted in the f ormation of FINRA. Mr. Gluck received
his bachelor’s degree f rom the University of Pennsylvania and completed both a master’s degree and M.B.A.
at the University of Calif ornia, Irvine.

Robert D. Gnoinski is Risk Monitoring Director f or Capital Market f irms and is located in the Kansas City
Of f ice where he supervises a team of Risk Monitoring Analysts in understanding f irm business activities and
the related risks. Mr. Gnoinski has been with the organization since 2004 and began his career in the Boston
Of f ice as an Examiner conducting routine examinations of member f irms. Prior to joining FINRA, Mr. Gnoinski
worked in a branch of f ice of a member f irm in operations and compliance. He holds a B.A. in Management
f rom Hartwick College in Oneonta, NY, and received a f inance and accounting certif icate f rom the Wharton
School through the Wharton Programs f or Working Prof essionals.

Leyna Goro is Associate Director in the FINRA Membership Application Program (MAP) group. Ms. Goro
oversees a team of managers and examiners reviewing applications f rom current and proposed FINRA
members. She plays a key role in analyzing f irm business activities and products, including complex and
novel matters. Ms. Goro also provides insight to FINRA constituents on the membership process in areas
such as compliance, various securities products, Anti-Money Laundering, risk assessments, and structural
changes. Ms. Goro has served as an expert speaker on industry panels, and f requently interf aces with
regulatory agencies on topics impacting the FINRA membership space. Ms. Goro was previously a MAP team
supervisor, and bef ore that, held various positions at FINRA, including examiner in the cycle and application
review programs. Ms. Goro has provided signif icant input on several high-prof ile initiatives, including the
NASD/NYSE merger process, FINRA’s retrospective review of the MAP rules, and most recently, the
implementation and rollout of FINRA Rule 1017(a)(7). She has served as a FINRA National Regulatory Expert
and has completed the FINRA Excellence in Management Program at Wharton.

Richard Harmon is Principal Analyst at FINRA. He has been with FINRA f or eight years, initially in the New
York of f ice, but is now located in the Philadelphia of fice. In this role, Mr. Harmon perf orms regular ongoing
surveillance, coordinates with various departments within the organization and is a point of contact f or various
member f irms regarding their regulatory compliance. Prior to this role, Mr. Harmon worked f or the National
Futures Association f or six years and perf ormed examinations of member f irms. Mr. Harmon graduated f rom
St. John’s University in Queens, NY with a Bachelor of Science in Finance.

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Elliot H. Henslovitz is Senior Director of Risk Monitoring assigned to the Capital Markets Niche and
Institutional Private Placement f irms, as well as the registered Funding Portals. Mr. Henslovitz has been with
FINRA since January 2018 and was previously the Senior Director of Surveillance f or New York District 10.
Prior to joining FINRA, Mr. Henslovitz was the Executive Director and Group Compliance Manager f or UBS
Americas, where he was responsible f or Policy, Training, Employee Conduct, Conduct Risk and Supervisory
Controls. Mr. Henslovitz previously served as Senior Division Counsel f or UBS Financial Services, Inc. Prior
to joining UBS, Mr. Henslovitz was the Senior Vice President and Regional Counsel f or Prudential Securities,
Incorporated; Deputy Attorney General f or the State of New Jersey; and Deputy General Counsel f or the
Florida Department of Business Regulation. Mr. Henslovitz also worked in private practice as a litigation
associate. Mr. Henslovitz earned his undergraduate degree f rom Yeshiva University and JD f rom the
University of Miami.

Stacie Jungling is Risk Monitoring Director f or the Capital Market f irms whose primary business models are
Product Origination and Wholesale and Public Finance. Ms. Jungling has been with FINRA f or a decade and
has held various roles within Member Supervision. Prior to FINRA, Ms. Jungling worked in the industry as a
broker. She received her undergraduate degree f rom the University of Colorado and her Master of Science
in Accounting degree f rom Regis University. Ms. Jungling also is a Certif ied Fraud Examiner (CFE) and holds
the Certif ied Regulatory Compliance Prof essional™ (CRCP™) certif icate f rom the FINRA Institute at
Wharton.

Tyler Kane is Director with FINRA’s Of f ice of Financial and Operational Risk Policy. In this role, he
participates in FINRA’s policy and rulemaking ef f orts relating to broker/dealer f inancial responsibility rules,
operational issues, and customer protection requirements. Additionally, Mr. Kane reviews regulatory matters
and interpretive issues regarding net capital, customer protection and books and records. Mr. Kane has been
with FINRA f or 12 years.

Dave Kelley, Director, Member Supervision Specialist Programs, is based out of FINRA’s Kansas City of fice.
He has been with FINRA f or more than 11 years and leads the specialist team dealing with cybersecurity and
inf ormation technology controls. Prior to joining FINRA, he worked f or more than 19 years at American
Century Investments in various positions, including Chief Privacy Of f icer, Director of IT Audit, Director of
Electronic Commerce Controls and AML Of f icer. He led the development of website controls, including
customer application security, ethical hacking programs and application controls. Mr. Kelley is a CPA and
Certif ied Internal Auditor, and previously held the Series 7 and 24 licenses.

Bo Kim is Senior Principal Analyst in the Risk Monitoring section of FINRA’s Member Supervision. She
serves as the primary regulatory contact f or her assigned member f irms in the Capital Markets Group,
specif ically investment banking and mergers and acquisitions f irms. She previously worked as a Principal
Analyst in the Of f ice of Fraud Detection & Market Intelligence, conducting initial investigations of investor
complaints. She has also worked as a Manager in the Registration & Disclosure department, covering
f unctions related to BrokerCheck, Form U6 review, statutory disqualif ications, and expungements. Prior to
transf erring to the NASD/FINRA, she worked at The Nasdaq Stock Market, in the Corporate Client Group,
serving as the primary point of contact f or executive management of numerous Nasdaq-listed companies.

Henry Kugaczewski is currently Risk Monitoring Director and Regulatory Specialist (Operations, Clearance,
Settlement) in the Capital Markets and Investment Banking Services Group. Mr. Kugaczewski has been
employed in the securities industry since 1993, apart f rom one year where he returned to private security
contractor work f ollowing the events of September 11th. More than 20 years of his career has been spent in
compliance/regulation; including more than 15 years at FINRA. Prior to joining FINRA, Mr. Kugaczewski
worked as an Examiner in Member Regulation at the New York Stock Exchange, Senior Manager in Risk
Compliance at Morgan Stanley, and in the International Departments of Morgan Stanley, Pershing, and
Bankers Trust. Mr. Kugaczewski has a B.S. in Economics f rom Monmouth University.

Minh Q. Le is Director of FINRA’s Corporate Financing Department. He has more than 20 years of experience
in the regulation of public and private of ferings. Currently, Mr. Le manages the department’s Private
Placement Review program which conducts regulatory oversight of broker-dealer participation in retail private
of f erings. In addition to overseeing the review and investigation program, Mr. Le’s duties include developing
policy and providing guidance on corporate f inancing and other capital-raising related issues. Mr. Le also
routinely provides subject matter expertise to FINRA’s Examination and Enf orcement staf f s. Building on this
experience, Mr. Le serves as a member on FINRA’s Regulatory Specialist committees f or Public Of f erings,
Private Placements, and Non-traded Direct Participation Programs (DPP) and Real Estate Investment Trusts

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(REIT), and was a member of FINRA’s Risk Assessment Committee. For the past 19 years, he has been a
member of FINRA’s Sales Rep and DPP/REIT Qualif ications Committees. Prior to his involvement in
developing FINRA’s private placement rules and the f iling program, Mr. Le was a manager in the department’s
Public Of f erings Review program, which is responsible f or regulating underwriting terms and arrangements
in public of f erings. Mr. Le graduated f rom the University of Maryland, attended the Wharton Institute of
Executive Education, and is a Certif ied Regulatory and Compliance Prof essional (CRCP)®.

Michael Mailes graduated with a B.S.B.A. in Economics & Finance f rom Missouri Southern State
University. He has been employed at NASD/FINRA since 2002 and is located in the Kansas City
Of f ice. During his time at NASD/FINRA, Mr. Mailes spent the f irst 11 years working on the examination side
and the most recent eight years in Risk Monitoring, currently in Capital Markets Private Placements/Niche
group.

George Malley is a risk monitoring analyst in FINRA’s Boston Of f ice. In that role, he perf orms day-to-day
surveillance of f irms in the Capital Markets and Investment Banking space. Prior to becoming a Risk
Monitoring Analyst, Mr. Malley perf ormed f ield examinations of member f irms. He has been with FINRA for
22 years. Bef ore joining FINRA, Mr. Malley worked as an attorney with the Massachusetts Securities Division.
He is a graduate of the College of the Holy Cross and Boston College Law School.

Kayla Martin has been an Examiner with FINRA’s Membership Application Program (MAP) Group since
December 2019. Ms. Martin received her Juris Doctor degree f rom St. John’s University School of Law in
May 2019 and in August 2020, was admitted to the New York State Bar. During law school, Ms. Martin
interned with FINRA’s Of f ice of Fraud Detection and Market Intelligence (“OFDMI”) f rom January 2019 – April
2019 where she investigated cases and reviewed regulatory f ilings f or violations of f ederal securities laws
and FINRA regulations, including unsuitability, misappropriation of f unds, unauthorized trading,
churning/excessive trading, f ailure to maintain adequate books and records, insider trading, and f raud. Prior
to interning with OFDMI, Ms. Martin served as a compliance intern with Betterment f rom September 2018 –
November 2018 where she was responsible f or reviewing and amending the f irm's policies and procedures
regarding books and records, disclosure requirements, and pay to play rules. Ms. Martin f urther organized
f irm records to assist with regulatory examinations and ensure compliance with SEC's and FINRA's books
and records rules and coordinated with an independent AML auditor to f acilitate the f irm’s annual AML audit
by responding to inquiries requesting documentation, including the KYC/CIP programs, Of f ice of Foreign
Assets Control ("OFAC") and FinCEN checks, suspicious activity reports ("SARs"), and AML training. From
January 2018 – May 2018, Ms. Martin was a legal intern f or St. John’s University School of Law’s Securities
Arbitration Clinic where she represented retail investors in securities arbitration claims involving violations of
FINRA regulations. Prior to law school, Ms. Martin received a Bachelor of Business Administration degree for
Legal Studies in Business, with a minor in Finance, f rom Hof stra University in December 2015 and worked
as a paralegal f or an insurance def ense f irm, Carman, Callahan, & Ingham, LLP.

Thomas Mellett is Head of Capital Markets Examinations f or FINRA’s Member Supervision department. He
is responsible f or examinations of FINRA members that are primarily engaged in Capital Markets business
activities, including Institutional Private Placements, Investment Banking, Mergers & Acquisitions, Product
Origination & Wholesaling, and Public Finance, among others. Prior to this role, Mr. Mellett was the District
Director of FINRA’s San Francisco District Of f ice, where he was responsible f or the of f ice’s examination and
risk monitoring programs. From 2013 to 2015, Mr. Mellett was a Surveillance Director during which time he
supervised regulatory coordinators who planed examinations and conducted risk monitoring of member
f irms. From 2010 through 2012, Mr. Mellett was an Examination Manager responsible f or supervising routine
examinations of member f irms. He transitioned into management af ter working as an examiner. Mr. Mellett is
designated as a Certif ied Regulatory and Compliance Prof essional™ (CRCP™) through the FINRA Institute.
Mr. Mellett holds a bachelor’s degree in f inance f rom Bentley University.

Pamela Moy rejoined FINRA in April 2020 as Risk Monitoring Analyst in the San Francisco of f ice in the
Capital Markets Group. Prior to rejoining FINRA, Ms. Moy was employed with Morgan Stanley as a Complex
Risk Of f icer f or three years where she was responsible f or serving as primary contact f or all risk, supervisory
and compliance f unctions f or San Francisco and Hawaii branches including over 100 Financial Advisors and
their retail sales activity and collaborating with their Legal Division f or complaint resolution, litigation and
Financial Advisor conduct escalation when appropriate. From June 2006 to June 2017, Ms. Moy was the
Chief Compliance Of f icer f or Bankoh Investment Services, Inc. where she was responsible f or the overall
compliance program of the f irm including establishing and maintaining the written compliance policies and
supervisory procedures, perf orming training and testing to ensure f irm and associated employees were in

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compliance with f irm policies, securities rules and regulations and provided guidance and collaborated with
parent, Bank of Hawaii f or risk areas such as vendor management, privacy and AML, managed the reviews
Bankoh Investment Services, Inc.’s branch of fices, in addition to desk reviews and f unctional reviews at the
OSJ. Ms. Moy was employed with NASD f rom 1998 to 2005 as a securities examiner in the New York and
San Francisco of f ices conducting complex exams and training new staf f on the exam process. Prior to NASD,
Ms. Moy was a Client Service Associate in the Global Custody Department of Brown Brothers Harriman &
Co., acting as liaison between brokerage operations team and account managers and resolved trade
inquiries. Prior to Brown Brothers Harriman & Co., Ms. Moy was recruited by U.S Trust through college where
she began her prof essional career in the securities industry. She worked as an Operations Representative
in the Liquidations and Legal Transf er unit of U.S. Trust f or the John Nuveen UIT and ETF transf er agent
division. Ms. Moy graduated f rom Baruch College, City University of New York with a degree in Management.

James Murphy is Examination Manager at FINRA and the supervisor of the Risk Monitoring and Examination
teams assigned to the Funding Portal membership. Mr. Murphy began working at FINRA in March 2012 as
an Associate Principal Examiner in the Membership Application Group (“MAP”) bef ore being promoted to an
Application Manager in 2015. The f ollowing year, with the onset of equity crowdf unding under Reg CF, Mr.
Murphy was given oversight of the Funding Portal membership, risk monitoring, and examination programs.
Prior to joining FINRA in 2012, Mr. Murphy spent most of his career at Allied Irish Banks, in their New York
of f ice, managing the bank’s short and long-term USD liquidity portf olio in addition to the bank’s collateralized
mortgage obligation portf olio. Mr. Murphy obtained his degree in Finance f rom St. John’s University and
received his Chartered Financial Analyst (CFA) designation in 2008.

Matt Reyburn is Risk Monitoring Director f or the FINRA Capital Markets and Investment Banking f irm
grouping. During his 19 years with FINRA, he has served various roles as an Examiner and Examination
Manager prior to becoming a Risk Monitoring Director. Mr. Reyburn’s experience includes perf orming
examination work through regulatory services agreements f or the NASDAQ-LIFFE Single Stock Futures
Exchange and Chicago Climate Exchange. As a Risk Monitoring Director, Mr. Reyburn and his team of
analysts are responsible f or perf orming the sales practice and f inancial/operational monitoring of
approximately 270 Mergers and Acquisition broker-dealers located across the nation. Prior to joining FINRA,
Mr. Reyburn perf ormed various roles including Examination Manager and Strategic Development Analyst at
the National Futures Association.

Lisa Robinson serves as Senior Director, FINRA, Membership Application Program group, where she works
directly with industry prof essionals, entrepreneurs and innovators on a wide range of topics, including
compliance and regulatory issues, unique/novel products and business models, and large-scale restructuring.
She of f ers insight to both internal and external constituents with a f ocus on policy, risk assessment, mitigation
and collaboration. In addition, Ms. Robinson liaises with government agencies on a wide range of topics
impacting the broker-dealer community. She is also a member of FINRA’s Digital Asset Policy group. Prior to
joining MAP, Ms. Robinson served as an Associate Director in FINRA’s Member Regulation, Sales Practice
Department, where she was responsible f or the oversight and execution of the District 10 examination plan,
including cycle, cause and branch examinations f or many member f irms. She has participated on several
national initiatives, most recently FINRA’s Retrospective Review of the MAP rules. Ms. Robinson has served
as a panelist at numerous industry events on topics such as crowdf unding, examinations, supervisory controls
and ethics and has presented at FINRA Institute at Wharton. She is a Certif ied Regulatory and Compliance
Prof essional™ (CRCP™). Ms. Robinson completed the FINRA Excellence in Management Program at
Wharton and is a recent graduate of Harvard Kennedy School of Executive Education, Women and Power.

Robert Schmidt is Principal Risk Monitoring Analyst at FINRA and has more than 30 years of
auditing/compliance experience in the securities industry. As a Risk Monitoring Analyst in the Capital Markets
and Investment Banking group, Mr. Schmidt acts as the primary point of contact for FINRA member f irms and
supports FINRA's regulatory program by reviewing f irm submissions (FOCUS, Annual Audits, Notif ications,
Rule 4530 f ilings, etc.), conducting various risk monitoring activities, and evaluating the impact of material
changes to a f irm, including changes in key of f icers, ownership and/or business operations. Prior to joining
FINRA in 2014, Mr. Schmidt held various managerial positions at the NYSE over a span of 25 years, including
Accounting Supervisor, Managing Director of Internal Audit/Regulatory Quality Review, and Managing
Director of Listings Compliance where he was also a voting member of the NYSE Listing and Compliance
Committee. Mr. Schmidt was also a member of the Human Resources Advisory Committee and was among
the employees that rang the opening bell at the NYSE on August 14, 2006 in recognition of his volunteer work
f or the PBS Pledge Drive.

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Amy C. Sochard is Vice President of FINRA’s Advertising Regulation Department. The department helps
protect investors by ensuring members of FINRA use communications including social media, digital
advertising and other marketing material that are f air, balanced, and not misleading. Ms. Sochard oversees
the department’s regulatory review programs and business operations, including the development of
technology to f acilitate the review of communications. Ms. Sochard provides expertise and policy guidance
to other FINRA departments concerning FINRA, SEC, MSRB and SIPC rules pertaining to communications
with the public. She also oversees the development of new rules, published guidance, and interpretations
regarding communications, and she routinely speaks at industry events on these topics. Prior to joining
FINRA, Ms. Sochard worked with a real estate syndication f irm in Washington, DC. She received a bachelor’s
degree with distinction in English f rom the University of Virginia and studied poetry writing at Columbia
University.

Bill St. Louis is Senior Vice President and Firm Group Leader f or FINRA member f irms assigned to the Retail
and Capital Markets f irm groupings. In this capacity, he has responsibility f or the Single Points of
Accountability and Risk Monitoring Program teams f or these f irms, which includes the assessment of
business conduct, f inancial, operational and trading risks. He and his team are also responsible for
examination strategy f or these f irms, as well as coordination with Examination Program management on the
execution of related examinations. He also oversees FINRA’s High Risk Representative Program, and
FINRA’s Membership Application Program (MAP). Prior to his current role, Mr. St. Louis was the Regional
Director f or FINRA’s Northeast region, District Director of FINRA’s New York of f ice, and held senior roles in
FINRA’s Enf orcement Department including serving as the Regional Chief Counsel f or FINRA’s North
Region. Mr. St. Louis earned an undergraduate degree f rom Baruch College and a law degree f rom New
York University School of Law. Prior to law school he worked f or several years in the Compliance Department
of a NY-based broker-dealer.

Robert M. Sulik has been with FINRA f or 34 years and is located in the Boston Of f ice location. He is currently
a Single Point of Accountability f or Capital Markets M&A Investment Banking group which entails
approximately 725 member f irms. In this role that began in January 2020, he oversees the risk monitoring
team and will coordinate with examination program management on the execution of examinations f or the
group. More specif ically this involves the ongoing risk monitoring and risk assessment of members f irms, as
well as the planning and execution of examinations. Previous management roles at FINRA have included
being a Surveillance Director and an Associate Director in the Boston office f or the past 20 years. He worked
in other FINRA locations as well, having been an Examiner in the Cleveland and Denver of f ices and an
Examination Manager in the San Francisco of f ice. Mr. Sulik has a bachelor’s degree in Finance f rom Miami
University Oxf ord, Ohio and a master’s degree in Finance f rom University of Colorado Denver.

Laura Trotz is Senior Director f or the Capital Markets and Investment Banking f irms whose primary business
models are Product Origination and Wholesale and Public Finance. Ms. Trotz is responsible f or overseeing
the ongoing risk monitoring and assessment f or these f irms as well as coordinating with Examination Program
Management on the execution of examinations. Ms. Trotz began her FINRA career more than 20 years ago
as an examiner and has held various management roles within the f irm, cause, membership and surveillance
programs, most recently as District Director f or the Chicago District Of f ice. She received her Finance degree
f rom Illinois Benedictine College and holds the Certif ied Regulatory Compliance Prof essional™ (CRCP ™)
certif icate f rom the FINRA Institute at Wharton.

Anthony Vinci is Director in the Of f ice of Financial and Operational Risk Policy at FINRA, working on broker-
dealer accounting, auditing, and f inancial responsibility rule matters. Mr. Vinci is a Certif ied Public Accountant
in the State of New York and currently serves as FINRA’s U.S. GAAP subject matter expert. Prior to joining
FINRA, Mr. Vinci’s career experience was split between public accounting and the broker-dealer industry.
Immediately prior to joining FINRA, he was the Chief Financial Of f icer, Treasurer and Financial and
Operations Principal of Mirae Asset Securities USA, Inc. (Mirae), a start-up prime brokerage and
clearing/carrying broker-dealer, responsible f or building Mirae’s f inancial control, external/internal reporting,
and liquidity risk management f unctions. Prior to his time with Mirae, Mr. Vinci was Chief Financial Of f icer,
Financial and Operations Principal, and Secretary of Maple Securities USA, Inc. (Maple), a self -clearing
broker-dealer. Prior to his time at Maple, Mr. Vinci held various positions at GFI Group, Inc., a publicly traded
interdealer broker-dealer, including Director of Global Cash Management/Corporate Treasury and Manager
of SEC Reporting/Accounting Policy. Mr. Vinci started his career with Ernst & Young LLP in the Financial
Services Of f ice Assurance Practice, f ocused on the audits of publicly traded companies including broker-
dealers, securities exchanges, and other f inancial institutions. Mr. Vinci holds a Bachelor of Business
Administration summa cum laude and Master of Business Administration with a concentration in Public

                                           © 2021 Financial Industry Regulatory Authority, Inc. All rights reserved. 6

Accounting and Financial Management f rom Pace University. He currently serves on the Pace University
Lubin School of Business Accounting Department Advisory Board. Mr. Vinci was recently recognized by the
New York State Society of Certif ied Public Accountants with the “Emerging Leader Under 40” award.

Heather Watson joined FINRA in October 2007 as an Examiner (now Principal Risk Specialist), based out
of the Boston Of f ice, conducting examinations of our member f irms. During the past f ew years, she has
conducted several cybersecurity reviews as part of larger Sales Practice examinations or in coordination with
FINRA’s Cybersecurity Team. In September of 2020, Ms. Watson joined FINRA’s Cybersecurity Specialist
Team and now leads cybersecurity reviews and advises other FINRA staf f . Prior to joining FINRA, Ms. Watson
spent 10 years with Boston Financial, working in various operations areas as well as in the compliance
department, in both supervisory and risk analyst roles. Ms. Watson holds a BSBA in Finance f rom
Northeastern University and also has her Certif ied Anti-Money Laundering Specialist (CAMS) certif ication.

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