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FINRA Elects and Appoints Members to Its Board of Governors

FINRA named five new industry members to FINRA's 22-member Board of Governors.

The following individuals were elected as Governors:

  • Timothy C. Scheve, President and CEO of Janney Montgomery Scott LLC, was re-elected as one of three Large Firm Governors.

  • James T. Crowley, CEO of Pershing Advisor Services LLC, was elected as the only Mid-Size Firm Governor.

  • Paige Pierce, President and CEO of Bley Investment Group, Inc., was re-elected as one of three Small Firm Governors.

FINRA's Board of Governors also appointed (i) Mortimer J. "Tim" Buckley, the Chair and CEO of Vanguard, to fill the Investment Company Affiliate seat and (ii) Peggy Ho, Senior Vice President and General Counsel of Commonwealth Financial Network, to fill the Independent Dealer / Insurance Affiliate seat.

Primary Sources

  1. FINRA Press Release: FINRA Announces Governor Elections and Appointments

Tags

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