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Andrew Dobry

Andrew Dobry joined FINRA in 2020 as a Vice President within Internal Audit. Andrew leads the Information Technology Audit Team, which provides assurance over the security and integrity of FINRA’s information assets.

Mr. Dobry has over 35 years of experience in corporate audit roles. Prior to joining FINRA, Mr. Dobry was employed by Booz Allen Hamilton, with roles as Chief Audit Executive and Head of IT Audit. He has also led the IT Audit functions at Constellation Energy, FleetBoston Financial, and the Vanguard Group. 

2022074931701 Adam C. Ellison CRD 6073346 AWC lp (2023-1688602806953).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074931701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Adam C. Ellison (Respondent) Former General Securities Representative CRD No. 6073346 Pursuant to FINRA Rule 9216, Respondent Adam C. Ellison submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.