The Financial Industry Regulatory Authority has beefed up its enforcement division with the appointments of two senior legal advisors who will be responsible for advising on high-impact investigations and disciplinary actions, according to a new release.
The newly created roles will be filled by Julie Glynn and Tina Gubb, who will serve as senior vice presidents of enforcement, reporting to Bill St. Louis, executive vice president and head of enforcement at the regulatory agency, the release said. Gubb’s appointment is effective July 22, while Glynn will start in September.
“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,” St. Louis said in a statement.
Glynn, who previously worked at Finra from 2005 to 2011 as an enforcement attorney, has been with J.P. Morgan Chase since 2019, serving as general counsel for its wealth management line of business. She manages a team that has “advised the business on issues ranging from the creation of a new remote advisory channel to enhancements to [J.P. Morgan’s] self-directed digital channel,” the release said, adding that she also has held other senior roles at the firm, including manager of the team that conducted government investigations and interfaced with Finra, the Securities and Exchange Commission and other regulators. She previously worked at Morgan Stanley and Morrison & Foerster.
Gubb, who has been with Finra since 1988, began as an analyst in the Office of Fraud Detection and Market Intelligence. She was tasked with the responsibility of investigating “fraudulent practices, pump-and-dump schemes, wash sales and insider trading” and has also been “in enforcement positions of increasing responsibility since 2002,” the release said.
The release also noted that as chief counsel, Gubb oversaw high-profile matters primarily focused on Regulation NMS (or National Market System), which boosts transparency in the way U.S.-listed stocks are traded, and Regulation SHO, which regulates short-sale practices.