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FINRA EVP of Member Supervision to Retire

FINRA Executive Vice President ("EVP") of Member Supervision Bari Havlik announced she will retire later this year. Greg Ruppert, currently serving as an EVP and leader of FINRA's National Cause and Financial Crimes Detection Program, will succeed Ms. Havlik in the role effective November 1, 2021.

Mr. Ruppert previously worked at Charles Schwab as Senior Vice President and Chief of the Financial Crimes Risk Management Group.

Primary Sources

  1. FINRA Press Release: FINRA Announces Retirement of Executive Vice President of Member Supervision Bari Havlik; Greg Ruppert Appointed as Successor

Tags

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