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FINRA Elects Small and Large Firm Board Governors

FINRA elected Wendy Lanton and reelected Jim Nagengast to the Board of Governors. Ms. Lanton was elected as Small Firm Governor; Mr. Nagengast was elected as Large Firm Governor.

Ms. Lanton was previously appointed to the FINRA Small Firm Advisory Committee before acting as Chair. She is a founding principal and the Chief Operations / Compliance Officer of Lantern Investments Inc.

Mr. Nagengast has been on FINRA's Board of Governors since 2018. Mr. Nagengast served on the Finance, Operations and Technology Committee, and the Regulatory Operations Oversight Committee of the Board. Mr. Nagengast is currently the CEO of Securities America Financial Corporation Inc. and President of Securities America Inc.

Primary Sources

  1. FINRA Press Release: FINRA Announces Results of Governor Elections

Tags

Regulated Activities
Governance
Sub-Activity
Regulatory Personnel Changes
Regulated Entities
Regulatory Agencies
Sub-Entity
Securities SROs
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
FINRA / MSRB / SEC Exchanges / SIPC / Accountants
Sub-Author
FINRA