[ by Melanie Gretchen ] The FINRA executive team has undergone some changes this year and we thought an update would be helpful.  Fifteen names appear on the FINRA Marquee and C-I will introduce their biographies in a 3-part series. Monday, 8/20 [Click for: FINRA Leadership - An Introduction]

• Richard (Rick) Ketchum -  Chairman & CEO
• Stephen Luparello -  Vice Chairman
• Marcia Asquith -  SVP, Corporate Secretary
• Linda Fienberg -  President, Dispute Resolution, FINRA EVP, Chief Hearing Officer
• Susan Axelrod -  EVP, Member Regulation Sales Practice

Tuesday, 8/21 [Today's Post]

• Tracy Johnson -  SVP, Human Resources
• Bradley Bennett -  EVP, Enforcement
• Howard Schloss -  EVP, Corporate Communications and Government Relations
• Grant Callery -  EVP, General Counsel
• Thomas Selman -  EVP, Regulatory Policy

Thursday, 8/22

• Martin Colburn -  EVP, Chief Technology Officer
• Grace Vogel - EVP, Member Regulation
• Martin Colburn -  Chief Legal Officer
• Gerri Walsh -  President, FINRA Investor Education Fdn, VP, FINRA Investor Ed.
• Todd Diganci - EVP, CFO

.................................................................................................... Tracy Johnson. SVP, Human Resources. As SVP, Human Resources (HR), Tracy Johnson oversees the organization's benefits, professional development, employee relations, talent acquisition, compensation, worklife and diversity programs. Before joining FINRA in January 2011, Ms. Johnson was VP of HR at Allegis Group Inc., a MD-based professional services and staffing company.  There, she helped guide HR activities, including benefits design and admin., employee relations, policy design, recruitment, communications and training for 94,000 internal employees and contract personnel at more than 300 locations in North America.  Ms. Johnson also directed the negotiation, design, implementation and admin of Allegis Group's health and welfare benefits. Previously, she spent 3 years as director of HR at TEKsystems, Inc., Allegis' operating company, and held similar positions with a number of retail organizations, including Saks Fifth Avenue and Macy's.  She received her Bachelor's degree in Business Management from Gettysburg College. .................................................................................................... Bradley Bennett. EVP, Enforcement. Joined FINRA in January 2011, and currently is responsible for overseeing FINRA's Department of Enforcement.  He directs investigations and implementation for all formal FINRA disciplinary actions against firms and associated persons for violations of FINRA rules and federal securities laws. Previously, Mr. Bennett was a partner at the law firm Baker Botts in Was., DC, where he specialized in financial and securities law violations.  Before joining Baker Botts in 2001, he had been an attorney at Miller, Cassidy, Larocca & Lewin. Mr. Bennett started his career at the SEC as a senior attorney in Enforcement, with responsibility for cases covering all facets of securities law, including accounting, broker-dealer regulation, tender offers and insider trading. Mr. Bennett serves as an adjunct professor of securities regulation at Catholic Univ.'s Columbus School of Law. He received his undergraduate degree from St. Lawrence Univ. and his J.D. from Georgetown Univ. Law Center. .................................................................................................... Howard Schloss. EVP, Corp. Communications & Government Relations. Mr. Schloss is responsible for media, government relations and investor education programs, and he oversees FINRA's editorial production, design and multimedia communications services.  He also served as EVP of Corp. Communications and Government Relations at NASD, which consolidated with NYSE Member Regulation to form FINRA in 2007.  Mr. Schloss joined NASD in December 2000 at the SVP level. Prior to joining NASD, Mr. Schloss worked at the NYSE's Wash., D.C., office, where he served as VP for Public Affairs. He joined the NYSE staff in 1999.  Before joining the NYSE, Mr. Schloss worked for the U.S. Department of Treasury.  He started in 1993 as Deputy Assistant for Public Affairs and, from 1995 he served as Assistant Secretary for Public Affairs - a position to which he was appointed by President Clinton as the senior Treasury official for its Department of Public Affairs. Earlier in his career, Mr. Schloss worked at Powell-Tate Public Affairs from 1987 to 1991, for the Democratic Congressional Campaign Committee (DCCC) managing public affairs and media activities for this national political organization.  HE's also served as a writer and editor in various capacities for the Fort Worth Star-Telegram and the Midwest Bureau of UPI. He is an SMU graduate. .................................................................................................... Grant Callery. EVP, General Counsel. Mr. Callery joined the NASD in 1979 after spending 5 years in private practice.  During his tenure in the General Counsel's Office, he has been involved in all facets of the OGC's operation, including participation in the disciplinary and rulemaking function, development of corporate governance and other listing standards for The Nasdaq Stock Market, and NASD's efforts to obtain "blue-sky" exemptions for Nasdaq NMS issuers in numerous states. Mr. Callery became Deputy General Counsel in 1990, assuming day-to-day responsibility for the operation of the NASD Legal Department, and in 1993 was named General Counsel. In 2007, when NASD consolidated with NYSE Member Reg. to form FINRA, Mr. Callery assumed the role of General Counsel for Corporate matters. Mr. Callery had responsibility for coordination of NASD's participation in and implementation of the Report of the Select Committee on NASD Structure and Governance and the attendant reorganizations of the NASD corporate structure that took place in 1996 and 1997. He also was involved in all of the various acquisitions, divestitures and combinations with other SROs in which NASD and FINRA have participated. The corporate Office of General Counsel provides litigation, employment law, commercial, board governance support to FINRA, and manages the company's ethics program. Mr. Callery is a graduate of Marietta College and the Georgetown Law School. He is the author of a number of legal publications, and is an active member of the Business and Securities Law Committees of the ABA.  Mr. Callery also serves on the Board of Trustees of Marietta College and as a member of the Council of Board Chairs of the Association of Governing Boards. .................................................................................................... Thomas Selman. EVP, Regulatory Policy. Mr. Selman has served in his current position since 2008.  He oversees the departments of Corporate Financing, Advertising Regulation, Investment Companies Regulation, Member Education and Training, and the Office of Emerging Regulatory Issues. Tom joined the organization in 1996. From 1992 to 1996, Mr. Selman was Associate Counsel at the ICI (Investment Company Institute), a trade association for the mutual fund industry. Prior to that, he served as Special Counsel in the Office of General Counsel at the SEC, a position he held beginning in 1987.  Tom was an Attorney-Advisor to the European Union in Brussels, Belgium, from 1986 to 1987.  In addition to his career accomplishments, Mr. Selman has authored articles that were published in Investment Lawyer, The International Lawyer and Insights. Mr. Selman received bachelor's degrees in economics and history from Rice Univ., and a Doctor of Jurisprudence degree from The Univ. of Texas School of Law, where he was Associate Editor of the Texas Law Review. To access the referenced source of this information, go to:  [FINRA Leadership].