2018 FINRA Diversity Summit Agenda

Promising New Directions: Where Are We and Where Should We Be?

April 17, 2018
New York, NY (Midtown)


8:30 a.m. – 9:00 a.m.

Registration and Continental Breakfast

9:00 a.m. – 9:15 a.m.

Welcome Remarks

  • Cindy Foster, Vice President and Diversity Leadership Council Chairperson, FINRA

9:15 a.m. – 10:00 a.m.

Where Are We and Where Should We Be?

Speakers discuss the progress of diversity and inclusion in the financial services industry, challenges in the workplace and strategies to overcome.


  • Robert Cook, President and CEO, FINRA
  • Anne E. Robinson, Managing Director and General Counsel, Legal and Compliance Division, Vanguard

10:00 a.m. – 11:00 a.m.

Why Diversity Programs Fail—And What Works Better

Dr. Frank Dobbin discusses key points and lessons learned from his research published with co-author Alexandra Kalev about “Why Diversity Programs Fail—And What Works Better” (Harvard Business Review, Summer 2016).


  • Dr. Frank Dobbin, Department of Sociology, Harvard University

11:00 a.m. – 11:10 a.m.


11:10 a.m. – 12:00 p.m.

Learning Exchange

Participants engage in facilitated group discussions on topics relevant to the financial services industry. Participants also use Dr. Dobbin’s and Kalev’s research as a framework for lively discussion and identifying creative solutions.

12:00 p.m. – 12:15 p.m.


12:15 p.m. – 1:15 p.m.

Lunch and Nielsen Group Demographic Report

Over lunch, attendees hear leading research related to the under-realized market potential of women of color in the U.S.


  • Stacie de Armas, Vice President, Strategic Initiatives & Consumer Engagement, The Nielsen Company (U.S.)

1:15 p.m. – 1:30 p.m.

Managing a Multi-Generational Workforce

Attendees gain insight around the challenges and opportunities associated with attracting, retaining and engaging a multi-generational workforce.


  • Jean Setzfand, Senior Vice President, AARP

1:30 p.m. – 1:45 p.m.


1:45 p.m. – 2:30 p.m.

Diversity and Inclusion Leadership Panel

Facilitators discuss their groups’ input and provide personal perspectives on the identified challenges/proposed solutions drawing on their own professional experiences. Facilitators also summarize discussions and key points from each group conversation.


  • Audria Lee, Director, HR Diversity and Worklife, FINRA


  • Dr. Frank Dobbin, Department of Sociology, Harvard University
  • Trusha Mehta, Director, Inclusiveness and Flexibility Leader, Ernst & Young LLP
  • Emily Pitts, Principal, Inclusion and Diversity, Edward Jones
  • Lisa McGinty Toppin, Ed.D., Vice President, Chief Diversity Office, LPL Financial

2:30 p.m. – 2:45 p.m.

Closing Remarks

  • LaTricia Henderson, Associate Director and 2018 FINRA Diversity Summit Chairperson
  • David Scrams, Senior Director and FINRA Diversity Leadership Council Member

2:45 p.m. – 3:15 p.m.

Networking Opportunity