The Financial Industry Regulatory Authority (FINRA) has appointed Julie Glynn and Tina Gubb as Senior Vice Presidents of Enforcement. In a statement today (Wednesday), FINRA mentioned that the new appointments will enhance the organization’s mission to protect investors and maintain market integrity.

Strengthening Enforcement Leadership

Glynn and Gubb bring a wealth of experience and expertise to their new roles. Reporting directly to Bill St. Louis, the Executive Vice President and Head of Enforcement, the two will reportedly act as senior legal advisors. They will oversee high-impact investigations and disciplinary actions across the enforcement department.

Glynn and Gubb will also lead the enforcement attorney teams and collaborate with FINRA’s regulatory operations to support the organization-wide execution of its mission. Their responsibilities include overseeing four chief counsel enforcement teams each, with Glynn also overseeing enforcement litigation.

About the new appointments, St. Louis said: “Julie and Tina possess exemplary legal expertise, as well as superior leadership skills. I am confident that both Julie and Tina have the breadth of experience, strategic thinking, and agility needed to help lead our teams in pursuit of FINRA’s mission of investor protection and market integrity.”

Glynn joins FINRA from JP Morgan Chase, where she served as General Counsel for its wealth management line of business since 2019. During her tenure at JP Morgan, she advised on significant issues, such as creating a new remote advisory channel and enhancements to the firm’s self-directed digital channel.

She also managed teams handling government investigations and interactions with regulators, including FINRA and the SEC. Returning to FINRA, where she previously worked from 2005 to 2011 as an enforcement attorney, Glynn brings valuable insight and experience from her roles at Morgan Stanley and Morrison and Foerster.

Extensive Tenure at FINRA

Gubb’s long-standing career at FINRA began in 1998 as an analyst in the Office of Fraud Detection and Market Intelligence. Over the years, she advanced through various roles, focusing on fraudulent practices, market manipulation, and insider trading. Gubb has led high-profile investigations and settlements, including a $24 million settlement with BofA Securities in 2023 for spoofing in Treasury securities.

As Chief Counsel, Gubb supervised matters related to Regulation NMS, Regulation SHO, and best execution. Her extensive experience in enforcement positions since 2002 has prepared her well for her new role as Senior Vice President.