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FINRA Executives

Photo of Robert CookRobert W. Cook
President and Chief Executive Officer

Robert W. Cook is President and CEO of FINRA, and Chairman of the FINRA Investor Education Foundation.

From 2010 to 2013, Mr. Cook served as the Director of the Division of Trading and Markets of the U.S. Securities and Exchange Commission. Under his direction, the Division's professionals were responsible for regulatory policy and oversight with respect to broker-dealers, securities exchanges and markets, clearing agencies and FINRA. In addition, the Division reviewed and acted on proposed rule filings from self-regulatory organizations, including the securities exchanges and FINRA, and was responsible for implementing a range of initiatives and studies generated by the Dodd-Frank and JOBS Acts. He also directed the staff's review of equity market structure.

Immediately prior to joining FINRA, and before his service at the SEC, Mr. Cook was a partner at Cleary, Gottlieb, Steen & Hamilton, LLP, based in Washington, DC. His practice focused on the regulation of securities markets and market intermediaries, including securities firms, exchanges, alternative trading systems and clearing agencies. During his years of private practice, Mr. Cook worked extensively on broker-dealer regulation, advising large and small firms on a wide range of compliance matters.

Mr. Cook earned his J.D. from Harvard Law School in 1992, a Master of Science in Industrial Relations and Personnel Management from the London School of Economics in 1989, and an A.B. in Social Studies from Harvard College in 1988.


Photo of Brad Ahrens
Brad Ahrens
Senior Vice President
Advanced Analytics

Photo of Marcia Asquith
Marcia E. Asquith
Executive Vice President
Board and External Relations

Photo of Bob Colby
Robert L.D. Colby
Executive Vice President and
Chief Legal Officer

Photo of Maureen Delaney
Maureen Delaney
Senior Vice President and
Chief Hearing Officer

Photo of Todd Diganci
Todd T. Diganci
Executive Vice President and 
Chief Financial Officer

Photo of Stephanie Dumont
Stephanie Dumont
Executive Vice President, Market Regulation and Transparency Services

Photo of Bari Havlik
Bari Havlik
Executive Vice President
Member Supervision

Photo of Jessica Hopper
Jessica Hopper
Executive Vice President and
Head of Enforcement

Photo of Denise Dombay
Denise Dombay
Senior Vice President and
Chief Audit Executive

Photo of Steve Randich
Steve Randich
Executive Vice President
Chief Information Officer

Photo of Jonathan Sokobin
Jonathan Sokobin
Senior Vice President and
Chief Economist

Photo of Nathaniel Stankard
Nathaniel Stankard
Senior Vice President and
Senior Advisor to the CEO

Photo of Rainia Washington
Rainia Washington
Executive Vice President, Chief Human Resources Officer



Photo of Brad AhrensBrad Ahrens
Senior Vice President, Advanced Analytics

As Senior Vice President of Advanced Analytics, Brad Ahrens oversees FINRA’s analytics strategy and implementations—including machine learning, artificial intelligence and data visualization—to further enable investor protection and safeguard the financial markets. He also chairs FINRA’s Advanced Analytics Leadership Team, which is charged with identifying and deploying analytics opportunities that will maximize the benefits to investors, member firms, and FINRA.

Before joining FINRA in September 2021, Mr. Ahrens spent more than 20 years at Charles Schwab. Most recently, he served as Vice President of Risk Technology, Analytics and Change for the firm’s Enterprise Risk Management department. In that role, Mr. Ahrens oversaw the development, testing and implementation of applications used across Charles Schwab’s risk management and compliance programs. He also led the Risk Analytics Team providing data engineering and business intelligence to risk partners. Before assuming that role, he worked in various other compliance positions at the firm with a focus on surveillance, sales practice, operations, digital, financial crimes, and building collaborative partnerships to bridge the gap between regulation and technology.

Mr. Ahrens holds a BA in International Relations from the University of Wisconsin-Madison.


Photo of Marcia AsquithMarcia E. Asquith
Executive Vice President, Board and External Relations

Marcia Asquith, Executive Vice President, Board and External Relations, oversees the Office of the Corporate Secretary, as well as the offices of Investor Education, Member Relations and Education, Government Affairs, Corporate Communications and International.

Ms. Asquith's tenure at FINRA began in 2001 when she was hired as the Director of Government Relations. In 2004, she was promoted to Vice President of Government Relations and in 2007 she was named Corporate Secretary. She was subsequently promoted to Senior Vice President.

Prior to joining FINRA, Ms. Asquith served for seven years as Counsel to the Senate Agriculture Committee under Chairman Richard Lugar.

Ms. Asquith holds a BA in Economics from Oklahoma State University and a JD from the College of William & Mary School of Law. She currently serves on the Board of Trustees of the College of William & Mary School of Law Foundation.

Direct Reports

Photo of Gloria Dalton
Gloria Dalton
Senior Director

Photo of Greg Dean
Gregory J. Dean, Jr.
Senior Vice President
Office of Government Affairs

Photo of Dana Grosser
Dana S. Grosser
Senior Vice President
Corporate Communications

Photo of Jennifer Piorko Mitchell
Jennifer Piorko Mitchell
Vice President of
Corporate Governance and
Deputy Corporate Secretary

Photo of Kayte Toczylowski
Kayte Toczylowski
Vice President
Member Relations and Education

Photo of Gerri Walsh
Gerri M. Walsh
President, FINRA Investor Education Foundation and
Senior Vice President, Investor Education, FINRA


Photo of Bob ColbyRobert L.D. Colby
Chief Legal Officer, FINRA (Financial Industry Regulatory Authority)

As Chief Legal Officer of FINRA, Robert Colby oversees FINRA's rulemaking, interpretive, and corporate legal functions, as well as FINRA's Appellate Office, Office of Financial Innovation, and Departments of Advertising, Corporate Financing, and Dispute Resolution.   

Previously, Mr. Colby was a partner in the law firm of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters for financial institutions and markets.

Before joining Davis Polk, Mr. Colby served as Deputy Director in the SEC's Division of Trading and Markets. In that capacity, he was responsible for the regulation of broker-dealers, markets, and clearing organizations. Before serving as Deputy Director of the Division, Mr. Colby was Chief Counsel, and Chief of the Market Structure Branch.  

Mr. Colby received his J.D. cum laude from Harvard Law School and his undergraduate degree summa cum laude from Bowdoin College.

Direct Reports

Photo of Richard Berry
Richard Berry
Executive Vice President and
Director of FINRA Dispute Resolution Services

Photo of Alan Lawhead
Alan Lawhead
Vice President and
Director, Appellate Group

Photo of Racquel Russell
Racquel Russell
Senior Vice President and Director of Capital Markets

Photo of Bill Wollman
Bill Wollman
Executive Vice President
Head of Office of Financial and Operational Risk Policy

Patrice Gliniecki
Senior Vice President and
Deputy General Counsel



Photo of Maureen DelaneyMaureen Delaney
Senior Vice President and Chief Hearing Officer

Maureen Delaney is Senior Vice President and Chief Hearing Officer. As the Chief Hearing Officer, she oversees FINRA’s Office of Hearing Officers (OHO), an office of impartial adjudicators who preside over disciplinary and expedited actions commenced by FINRA’s Enforcement Department. OHO also handles disciplinary matters for approximately 20 other exchanges and self-regulatory organizations under Regulatory Service Agreements. Ms. Delaney has been the Chief Hearing Officer since 2017 and, before that, served for eight years as a Hearing Officer.

Before joining FINRA, Ms. Delaney was a trial attorney with the U.S. Department of Justice, an associate at a mid-sized law firm, and an Assistant State’s Attorney in Maryland. Ms. Delaney is a Certified Regulatory and Compliance Professional through the FINRA Institute at Wharton, University of Pennsylvania. She is also a Fulbright Scholar who taught courses in South America pertaining to the United States legal system.

She holds a BS in Finance from the University of Delaware and a JD from the Washington College of Law, American University.


Photo of Todd DiganciTodd Diganci
Executive Vice President, Chief Financial Officer and Chief Administrative Officer

Todd Diganci is Executive Vice President—Chief Financial Officer and Chief Administrative Officer. In this capacity, he is responsible for providing financial and administrative leadership for the organization. Specifically, he provides direction and oversight on all accounting, investments, tax, financial and administrative areas including real estate, business continuity planning and insurable risk management. In addition, he oversees the organization’s strategic planning and enterprise risk management programs and its Credentialing, Registration, Education and Disclosure (CRED) operations. Mr. Diganci also serves as the liaison for the Finance & Operations and Investment Committees of the FINRA Board.

Since joining FINRA in 1995, Mr. Diganci has played a critical role in transforming and shaping the organization where it stands today. He has led several key transactions from a financial and human resource perspective, including the unprecedented private placement of The NASDAQ Stock Market, which raised over $1.6 billion in proceeds; and the consolidation of NASD and the member regulation, enforcement and arbitration functions of NYSE Regulation to create FINRA in 2007. He also co-led negotiations with NYSE-Euronext for FINRA to perform full market regulation services for the exchange. Most recently, Mr. Diganci oversaw the creation of FINRA CAT, the subsidiary of FINRA that is the Plan Processor for the Consolidated Audit Trail (CAT), and currently serves on the FINRA CAT Board of Directors.

Mr. Diganci started his career with Marriott International. During his 10 years at Marriott, Mr. Diganci oversaw 150 operations worldwide, generating revenues in excess of $1 billion. He also played an essential role in role in spinning off Host-Marriott from Marriott International into a successful public offering in 1993.

Mr. Diganci received his bachelor's degree in accounting and computer information systems and an MBA from Drake University. Mr. Diganci is also a graduate of the Advanced Management Program at Harvard University's Business School. He currently serves on the Board of the SIFMA Investor Education Foundation.

Direct Reports

Photo of Eileen Famiglietti
Eileen Famiglietti
Vice President,
Enterprise Risk Management and
Treasurer, FINRA Investor Education Foundation

Photo of Jeffrey Kalinowski
Jeffrey Kalinowski
Senior Vice President, 
Finance and Administration

Photo of Derek Linden
Derek Linden
Executive Vice President,
Credentialing, Registration, Education and Disclosure

Photo of Rob Renner
Robert Renner
Senior Vice President,
Finance and Administration


Photo of Stephanie Dumont Stephanie Dumont
Executive Vice President, Market Regulation and Transparency Services

Stephanie Dumont is Executive Vice President, Market Regulation and Transparency Services. Working closely with the SEC and the exchanges, FINRA’s Market Regulation and Transparency Services Department conducts extensive oversight of the securities markets to protect investors and preserve market integrity. In addition to FINRA’s regulatory responsibilities for the entire over-the-counter market, its cross-market program covers 100 percent of U.S. equity market activity and approximately 45 percent of options contract volume. The Department combines examinations of member firms and innovative automated surveillance that assesses billions of market events each day to identify potential manipulation or fraud, and to supervise firms’ compliance with FINRA rules and federal securities laws. The Department also brings transparency to the equity and bond markets to help investors make informed investment decisions and improve supervision by regulators and firms. FINRA operates facilities that create the foundation of the regulatory audit trail in the securities markets and provides investors with timely quote and trade information, including TRACE (the Trade Reporting and Compliance Engine), the Trade Reporting Facilities, the Alternative Display Facility and the Over-the-Counter Reporting Facility.

Previously, Ms. Dumont was Senior Vice President and Director of Capital Markets Policy for FINRA's Office of General Counsel, where she was responsible for leading the development and interpretation of FINRA rules for market regulation, and providing legal and policy advice to FINRA management and staff. Among other areas, she was responsible for leading the policy and rulemaking legal team addressing trading and customer order handling practices, order audit trails and market structure for equity, options and fixed income securities. Dumont also supported the policy, rulemaking and regulatory reporting functions relating to FINRA's market transparency facilities, including the Trade Reporting Facilities, the OTC Reporting Facility, the Alternative Display Facility and Trade Reporting and Compliance Engine (TRACE). In addition, she provided legal counsel for FINRA's participation in various National Market System Plans, including the Consolidated Audit Trail (CAT), the Securities Information Processors and the Limit Up/Limit Down Plans.

Prior to joining FINRA's Office of General Counsel, Ms. Dumont was Director of Compliance for a broker-dealer compliance consulting firm. Prior to that position, Ms. Dumont conducted investigations for NASD's Market Regulation Department in areas such as insider trading, fraud, short selling and options. Ms. Dumont earned her B.S. in Finance and Management from the University of Virginia and her J.D. from the University of Virginia School of Law. She also earned her LL.M, with distinction, in Securities and Financial Regulation from Georgetown University Law Center.

Direct Reports

Photo of Gene DeMaio
Gene DeMaio
Executive Vice President
TFCE and Options Regulation

Photo of Alex Ellenberg
Alex Ellenberg
Vice President
Regulatory Risk Counsel

Photo of Lisa Horrigan
Lisa Horrigan
Senior Vice President and Chief of Staff

Photo of Jon Kroeper
Jon Kroeper
Executive Vice President,
Quality of Markets

Photo of Holly Lokken
Holly Lokken
Senior Vice President,
Market Regulation

Photo of Ola Persson
Ola Persson
Senior Vice President
Transparency Services



Photo of Bari HavlikBari Havlik
Executive Vice President, Member Supervision

Bari Havlik is Executive Vice President for Member Supervision. In this capacity, Ms. Havlik leads FINRA's Member Regulation program, which includes surveillance and examination programs for member firms.

Previously, Ms. Havlik was a Senior Vice President and Chief Compliance Officer for The Charles Schwab Corporation. She began her career in financial services in 1982, and has worked for discount brokerage, full service retail and institutional securities firms, as well as bank-affiliated broker-dealers.

Ms. Havlik received her undergraduate degree from DePaul University. She served on the board of Creativity Explored, a non-profit that gives artists with developmental disabilities the means to create and share their work with the community, celebrating the power of art to change lives, and continues her involvement with the organization as a member of the Creativity Explored Friends Circle. She also served on the board of GirlVentures, a non-profit that inspires girls to lead through outdoor adventure, inner discovery and collective action.

Direct Reports

Photo of Ornella Bergeron
Ornella Bergeron
Senior Vice President
Member Supervision

Photo of Ursula Clay
Ursula Clay
Senior Vice President and Chief of Staff/Head of Core Functions, Member Supervision

Photo of Kerry Gendron
Kerry Gendron
Senior Vice President
Member Supervision Data Analytics and Technology

Photo of Tom Nelli
Tom Nelli
Senior Vice President
Member Supervision

Photo of Greg Ruppert
Greg Ruppert
Executive Vice President
National Cause and Financial Crimes Detection Programs

Photo of Bill St. Louis
Bill St. Louis
Senior Vice President
Member Supervision



Photo of Jessica HopperJessica Hopper
Executive Vice President and Head of Enforcement

Jessica Hopper is Executive Vice President and Head of Enforcement, responsible for FINRA’s disciplinary actions across the country. Prior to assuming this role in January 2020, she was Senior Vice President and Deputy Head of Enforcement for four years, and Senior Vice President in charge of the Regional Enforcement program in the 14 FINRA District Offices from 2011 to 2016. Hopper joined FINRA in 2004 and was a Director in FINRA’s Washington D.C. office until 2011.

Prior to joining FINRA, from 2000 to 2004, she was part of Legg Mason Wood Walker, Inc.'s Legal & Compliance team, where her responsibilities focused on retail sales compliance. She began her career as a litigation attorney in private practice.

Hopper holds a J.D. from the University of Toledo College of Law and earned a B.A. from Hillsdale College.

Direct Reports

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Terrence Bohan
Vice President,

Photo of Chris Kelly
Christopher Kelly
Senior Vice President,
Deputy Head of Enforcement & Head of Sales Practice and Main Enforcement Enforcement

Photo of Lara Thyagarajan
Lara Thyagarajan
Senior Vice President,
Market Regulation Enforcement
and Litigation

Photo of Karinya Verghese
Karinya Verghese
Senior Director and Chief of Staff, Enforcement

Photo of Sarah Wallis
Sarah Wallis
Vice President,
Enforcement Strategic
Technology Programs



Photo of Denise DombayDenise Dombay
Senior Vice President and Chief Audit Executive

Denise Dombay joined FINRA in June 2020 as the Senior Vice President and Chief Audit Executive. In her role, she leads the organization’s Internal Audit function, which reports directly to the Audit Committee of the Board of Governors and provides assurance regarding FINRA’s internal control environment.

Ms. Dombay has over 30 years of experience in corporate audit and client service positions. She started her career in client services as an audit partner at Arthur Andersen and Ernst & Young. From 2008 to 2015, she worked at Marriott International as Chief Audit Executive and in senior Finance roles.

Prior to joining FINRA, Ms. Dombay spent several years developing and running her own swim school, pursuing her passion for swimming and education. She graduated with honors from The George Washington University (GWU) with a bachelor’s degree in accounting.

She serves on the Board of the Capital Area Food Bank, which partners with over 450 non-profit organizations in the DC area to ensure everyone has access to good, healthy food. She is also a member of the Athletic Advisory Council at GWU.



Photo of Steve RandichSteven Randich
Executive Vice President and CIO, Technology

Steven J. Randich, Executive Vice President and Chief Information Officer (CIO), oversees technology at FINRA.

Previously, Mr. Randich served as Co-CIO at Citigroup, and CIO and Global Head of Technology for Citigroup's Institutional Clients Group. Prior to joining Citigroup, he was Executive Vice President of Operations and Technology and CIO at NASDAQ, where he was responsible for all aspects of NASDAQ technology, including applications development and technology infrastructure.

From 1996 to 2000, Mr. Randich served as Executive Vice President and CIO for the Chicago Stock Exchange. He was responsible for all technology, trading-floor and back-office operations, and business product planning and development. Prior to joining the Chicago Stock Exchange, Mr. Randich was a Managing Principal at IBM Global Services and a Manager at KPMG.

Mr. Randich has an undergraduate degree in computer science from Northern Illinois University and an M.B.A. from the University of Chicago.

Direct Reports

Photo of John Brady
John Brady
Senior Vice President,
Cyber Security and Chief Information Security Officer

Photo of Karl Brock
Karl Brock
Senior Vice President,
Enterprise Application Platforms &
Business Applications

Photo of Mike Dillon
Mike Dillon
Senior Vice President
Enterprise Delivery Services

Photo of Ivy Ho
Ivy Ho
Vice President

Photo of Tigran Khrimian
Tigran Khrimian
Senior Vice President
Enterprise Data Platforms &
Business Applications



Photo of Jonathan SokobinJonathan Sokobin
Senior Vice President and Chief Economist

Jonathan S. Sokobin, Chief Economist and Senior Vice President, oversees the Office of the Chief Economist. In this role, he works closely with the Office of General Counsel and other departments in developing new rules, and analyzing the regulatory impact, including costs and benefits, of existing and potential rulemakings. He leads a team of researchers who gather and analyze data on securities firms and markets in order to inform policymaking at FINRA.

Previously, Mr. Sokobin was Acting Deputy Director, leading the Research Center in the Office of Financial Research at the U.S. Treasury Department. He joined the U.S Treasury Department in 2011 as Chief of Analytical Strategy in the Office of Financial Research.

Prior to joining the Treasury Department, Mr. Sokobin was Acting Director of the SEC's Division of Risk, Strategy, and Financial Innovation. He joined the SEC staff in 2000 and held various positions, including Deputy Chief Economist and Director of the former Office of Risk Assessment. From 1998 to 2000, he was a Senior Research Fellow at the SEC.

Mr. Sokobin began his career as a member of the faculty of the Cox School of Business at Southern Methodist University. He received his Ph.D. and MBA in finance from the Graduate School of Business at the University of Chicago, and his bachelor's degree in economics from the Ohio State University.


Photo of Nathaniel StankardNathaniel Stankard
Senior Vice President and Senior Advisor to the CEO

Nathaniel Stankard is Senior Vice President and Senior Advisor to the CEO.

Mr. Stankard joined FINRA in 2017. Prior to joining FINRA, he worked for the U.S. Securities and Exchange Commission for seven years. He first served as the Counsel to the Director of the Division of Trading and Markets and later as the Deputy Chief of Staff for Policy in the Office of Chair Mary Jo White, where he managed the rulemaking agenda of the Commission; advised the Chair on a diverse range of complex legal and policy matters; coordinated cross-agency staff teams comprised of policy, legal and economic experts; and represented the Chair in negotiations with other agencies and market participants.

His financial industry background also includes Morgan Stanley, where he was an Executive Director in what is now the Global Sustainable Finance Group, and Cleary Gottlieb Steen & Hamilton LLP, where he was an associate responsible for complex securities law matters.

Mr. Stankard received a Bachelor of Arts Degree in Economics from Oberlin College and received his J.D. from Harvard Law School.


Photo of Nathaniel StankardRainia L. Washington
Executive Vice President, Chief Human Resources Officer

Rainia L. Washington is Executive Vice President – Chief Human Resources Officer. In this role, she leads FINRA's People Solutions team, overseeing the organization's talent recruitment, training and development, diversity and inclusion, compensation and benefits, and employee relations.

Ms. Washington joined FINRA in June 2020 from Lockheed Martin Corporation, where she held a variety of Human Resources positions during her 26-year career with the company. Most recently, Ms. Washington was Lockheed Martin’s Chief Diversity and Inclusion Officer, responsible for developing and executing global strategies that cultivated and maintained a culture of inclusion for the company’s 110,000 employees worldwide. She led the company’s Executive Inclusion Council in partnership with the CEO and senior executive leadership.

Ms. Washington currently serves on the Great Minds in STEM Board of Directors and has served on the Society of Women Engineers Board of Directors, INROADS Board of Directors, Georgia Diversity Council Board of Directors, and the University of Pennsylvania Engineering Board. She is actively involved in her community through various organizations, including Wiley Tutoring Program, Big Brother Big Sister Program and Delta Sigma Theta Sorority Incorporated.

Ms. Washington received a BS in Systems Engineering from the University of Pennsylvania and an MBA in Organizational Development from Pennsylvania State University.