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 [Click for FINRA Leadership - 2nd of 3 Parts]

• 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 [Today's Post]

• 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

.................................................................................................... Martin P. Colburn. EVP and Chief Technology Officer. Martin Colburn is the Executive Vice President and Chief Technology Officer for FINRA.  As such, Mr. Colburn provides strategic and operational oversight for all of FINRA's technology.  He manages the technology staff and oversees all technology-related, third-party service contracts.  Mr. Colburn began his tenure with the organization in August 2001 as part of NASD, which consolidated with NYSE Member Regulation in 2007 to form FINRA.

  Before joining NASD, Mr. Colburn was the COO and the Chairman of the Australia Asia Joint Venture from 2000 to 2001 for Metiom, Inc.  From 1996 to 2000, he worked for Fannie Mae as the Senior Vice President of the Technology Management Center.  From 1993 to 1996, Mr. Colburn was the VP for Customer Service, Technology.  He began his stint with Fannie Mae in 1988 as a Director of UNIX Technical Services.  From 1985 to 1988, Mr. Colburn was the Vice President for Advanced Technology Planning for Sovran Bank.  He began his technology career with the Marriott Corporation in 1980. Mr. Colburn received a Bachelor of Science in Finance from the University of Maryland, College Park.  Additionally, he has a degree in Electrical Engineering from Montgomery College and also holds an Advanced Business Management certificate from the Harvard Business School.  Mr. Colburn was a Corporal, Special Services with the U.S. Marine Corps for three years prior to his technology career.  He serves on the boards of the Universities at Shady Grove and Montgomery College Foundation. ....................................................................................................

Grace Vogel. EVP, Member Regulation. Grace Vogel is Executive Vice President, Member Regulation at FINRA.  In this capacity, she oversees the Department of Risk Oversight and Operational Regulation, with responsibility for the ongoing surveillance and annual examinations of firms for financial and operational compliance and areas of broker-dealer risk management and supervision.  Prior, Ms. Vogel was EVP of Member Firm Regulation at the New York Stock Exchange.  When NYSE Member Regulation consolidated with NASD to form FINRA in 2007, Ms. Vogel began serving in her current role. Ms. Vogel joined the NYSE from Citigroup, Inc. where she worked from 2001 to 2004, serving as Deputy Controller responsible for financial and regulatory reporting.  Prior to joining Citigroup, Ms. Vogel served in various financial roles at J.P. Morgan, from 1992 to 2001, including the Chief Accounting Officer of J.P. Morgan & Co. Inc. and the Chief Financial Officer of J.P. Morgan Securities Inc. Ms. Vogel was with the NYSE from 1979 to 1992 as managing director, Member Firm Regulation.  Prior to her work at the NYSE, Ms. Vogel was a senior examiner at NASD. Ms. Vogel received her Bachelor of Science in Accounting at the State University of New York in Albany.  She has been active in many financial industry organizations, including serving as President of the Financial Management Division of the SIA.

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Robert Colby. CFO. Robert Colby joined FINRA in June 2012 as Chief Legal Officer.  In this capacity, he oversees FINRA’s corporate and regulatory General Counsel functions as well as FINRA’s Regulatory Policy group and the Office of Emerging Regulatory Issues. Previously, Mr. Colby was a partner in the Washington, D.C., office of Davis Polk & Wardwell LLP, where he advised on regulatory and compliance matters involving securities and derivatives for financial institutions, markets and clearing organizations. Before joining Davis Polk in 2009, Mr. Colby served for 17 years as Deputy Director of the SEC's Division of Trading and Markets.  In that capacity, he was responsible for the regulation of broker-dealers, securities markets and clearing organizations.  Previously, he was Chief Counsel of the division and Chief of the division’s Branch of Market Structure for 11 years. Mr. Colby received his undergraduate degree from Bowdoin College and earned his J.D. from Harvard Law School.

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Gerri Walsh. President, FINRA Investor Education Foundation Vice President, FINRA Investor Education. Gerri Walsh is Vice President of Investor Education at FINRA. In that capacity, she manages FINRA's investor education initiatives, including developing and implementing new programs, creating interactive tools for investors, publishing print and online educational materials, and coordinating with government and non-profit partners.  She also serves as President of the FINRA Investor Education Foundation, where she manages the Foundation's grant making and programmatic efforts to educate and protect investors.  Her work focuses especially on traditionally underinvested groups of Americans, including young adults, women, Native Americans and members of the U.S. military.  She joined FINRA in May 2006. Prior to joining FINRA, Ms. Walsh was Deputy Director of the SEC's Office of Investor Education and Advocacy (OIEA) and, before that, Special Counsel to the Director of OIEA.  She also served as a senior attorney in the SEC's Division of Enforcement, investigating and prosecuting violators of the federal securities laws. From 1989 to 1994, Ms. Walsh was an associate with Hogan & Hartson (now Hogan Lovells LLC), a Washington, D.C. law firm.  She received her J.D. from NYU School of Law in 1989 and her B.A. from Amherst College in 1985.  She is a member of the New York and District of Columbia bars.  She volunteers on the Board of Gifts for the Homeless, Inc. (a non-profit organization dedicated to helping the homeless in the greater DC area).

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Todd T. Diganci. EVP and CFO. Todd Diganci is Executive Vice President and Chief Financial Officer for FINRA.  He directly supports several Board committees, including Management Compensation, Finance & Operations, Investment and Audit. Mr. Diganci is responsible for providing direction and oversight on all financial matters for the organization, including strategic, operational, technology, treasury and financial reporting.  He is also responsible for the management of the organization’s investment portfolio including investment consultants and managers.  Mr. Diganci also oversees FINRA’s Human Resources and Corporate Services areas, which include Corporate Real Estate, Corporate Purchasing, Meetings and Conferences and Risk Management departments. Since joining FINRA in 1995, Mr. Diganci has led several key transactions, including the unprecedented private placement of The NASDAQ Stock Market, which raised over $1.6 billion in proceeds; the creation of international joint ventures that promoted the trading of equities and ETFs abroad; the divesture of the American Stock Exchange; and the consolidation of NASD and the member regulation, enforcement and arbitration functions of NYSE Regulation to create FINRA in 2007.  Most recently, he co-led negotiations with NYSE-Euronext for FINRA to perform full market regulation services for the exchange. Mr. Diganci started his career with Marriott International.  During his 10 years at Marriott, Mr. Diganci took on increasing levels of responsibility, ultimately serving as Corporate Controller for the Host-Marriott operating group.  In this role, Mr. Diganci oversaw 150 operations worldwide, generating revenues in excess of $1 billion, and related corporate development work including acquisitions, contract extensions and divestures.  Mr. Diganci also played a central role in spinning-off Host-Marriott from Marriott International into a successful public offering in 1993. Mr. Diganci received his bachelor's degree in Accounting & Computer Information Systems and a master's degree in Finance from Drake University in 1982 and 1984, respectively.  Mr. Diganci is also a graduate of the Advanced Management Program at Harvard University's Business School. To access the referenced source of this information, go to:  [FINRA Leadership].