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Lisa Arnesen

Lisa Arnesen is FINRA’s Vice President of People Analytics and Operations. In this role, Ms. Arnesen leads the strategic and operational support of all HR systems, as well as FINRA’s employee relations and people-focused data analytics and reporting functions.

Haimera Workie

Haimera Workie, Vice President and Head of Financial innovation, oversees the Office of Financial Innovation. In this capacity, he is responsible for leading FINRA’s Office of Financial Innovation, which focuses on analyzing financial technology (FinTech) innovations and emerging risks and trends related to the securities market. As part of these responsibilities, Mr. Workie works to foster an ongoing dialogue with market participants in order to build a better understanding of FinTech innovations and their impact on the securities markets.  

2020067798901 Shawn Patrick CRD 1419385 AWC sl (2022-1643934017215).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT No. 2020067798901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Shawn Patrick (Respondent) Investment Company and Variable Contracts Products Representative Investment Company and Variable Contracts Products Principal CRD No. 1419385 Pursuant to FINRA Rule 9216, Respondent Shawn Patrick submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
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