I majored in English Literature and graduated in 1991. I thoroughly enjoyed all of my classes but particularly recall classes taught by Professors Addison Gayle and Paula Berggren.   I’m currently the District Director of FINRA’s New York and Long Island offices and manage the sales practice examination and surveillance staff in both locations.  Prior to assuming this role in June 2014, I was the Regional Enforcement Chief Counsel for FINRA’s North Region where I managed Enforcement staff in FINRA’s New Jersey, Boston, and Philadelphia offices.

FINRA, the Financial Industry Regulatory Authority, is the largest independent regulator for all securities firms doing business in the United States. FINRA is dedicated to investor protection and market integrity through effective and efficient regulation. FINRA touches virtually every aspect of the securities business-from registering and educating all industry participants to examining securities firms, writing rules, enforcing those rules and the federal securities laws, informing and educating the investing public, providing trade reporting and other industry utilities, and administering the largest dispute resolution forum for investors and firms.

Immediately prior to joining FINRA, I clerked for a Justice of the NY Supreme Court (a trial court) New York County.  Prior to graduating from NYU Law School and during and after Baruch, I worked in the Compliance Department of a regional broker-dealer.

Contact:  WAMSL@msn.com