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Stories of Interest
- Deutsche Bank Is Weighing Massive Cuts in Its U.S. Cash Equities Unit
- Richard Jenrette, Co-Founder of DLJ Investment Bank, Dies at 89
- Goldman Sachs Makes First Hire in Cryptocurrency Markets Unit
- Special FINRA Election to Fill Large Firm Governor Vacancy
- Chicago-Based Investment Adviser Sentenced to 151 Months in Prison - SEC
- Dun & Bradstreet Hit With FCPA Violations - SEC
- SEC Charges Additional Defendant in Fraudulent ICO Scheme
- Warren Buffett Simply Blew it on Wells Fargo Stock: Dick Bove (Video)
- Barclays and Deutsche Bank to Lag U.S. Trading Peers
- NY AG Schneiderman Seeks to Close Loophole That Could Let Trump Pardons Block State Charges
- 'Fearless Girl' is Moving to NYSE After Year Staring Down 'Charging Bull'
- What's In Your Wallet - American Express Shares Soar After Earnings Release
- Deutsche Bank's Executive Departures Continue Following Change in CEO
- Reflections of an Economist Commissioner (SEC's Piwowar)
- Billionaire HF Manager and The Fed Chair Runner-Up are Investing in New Cryptocurrency
- Court Finds 2 Brokers Liable for Fraud Involving Mortgage-Backed Securities
- One FINRA: An Organization’s Commitment to Diversity and Inclusion
- 2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
- Barclays Eyes Move Into Cryptocurrency Trading
- Goldman Breaks From Wall Street Pack with Bond-Trading Boom
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NEWSLETTERS & ALERTS
Bari Havlik Replacing Susan Axelrod at FINRA
FINRA announced the hiring of Bari Havlik as EVP for Member Supervision; she will replace Susan Axelrod, who leaves FINRA after 28 years of service. In her new capacity, Ms. Havlik will report directly to FINRA CEO Robert Cook and will oversee, among other things, surveillance and examination programs for member firms.
Bari Havlik most recently was an SVP and CCO for The Charles Schwab Corporation – she stepped down from that position in October 2017. At Schwab, Ms. Havlik led a team of over 400 people responsible for enterprise-wide compliance programs, including those specific to the company’s broker dealers, investment advisors, mutual funds, retirement plan services, bank entities. In 2014 was asked by the CEO to take over responsibility for the BSA/AML OFAC and FCPA programs.
She began her career in financial services in 1982 and has worked for discount brokerage, full service retail, and institutional securities firms, as well as bank-affiliated broker-dealers. Leading up to joining Schwab in 2003, Ms. Havlik held the following positions:
- VP-Compliance for Wells Fargo Investments (2001-2003)
- Compliance Director for MiFund (2000-2000)
- Managing Director-Compliance for Banc of America Securities (1998-2000)
Havlik was on the board of the National Society of Compliance Professionals from October 2009 through March 2011. She was also active in several industry advisory committees for FINRA and the MSRB, including as a member of the FINRA Membership Committee. Havlik received her undergraduate degree from DePaul University.