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Stories of Interest
- 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
- Janney Montgomery Scott CEO Joins FINRA Board of Governors
- SEC Encourages Investors to Do Background Checks on Investor.gov
- The Martin Act: Wall Street Titan Takes Aim at Law That Tripped Him Up
- Bank of America’s Cost-Cutting Drive Pushes Profit to Record
- Larry Fink: Wall Street’s $6 Trillion Man Finally Worth $1Bn
- Activist Investor Wants Barclays Investment Banking Overhaul (Video)
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NEWSLETTERS & ALERTS
FINRA's Susan Axelrod is Ending 28-Year Enforcement Career
Susan Axelrod, who has served as FINRA EVP for Regulatory Operations since 2013, is calling it quits effective 1/5/2018. After that, she will serve as a senior advisor to FINRA President and CEO Robert Cook through April, assisting in the leadership transition for Regulatory Operations and providing expertise and guidance with respect to a broad range of strategic issues.
As EVP for Regulatory Operations, Ms. Axelrod she has been responsible for leading the Member Regulation program, the Office of Fraud Detection, and Market Intelligence, Enforcement, and Shared Services. Her nationwide team of more than 1,400 people in 14 offices has executed several of FINRA’s core regulatory programs, including the following:
- Conducted exams and investigations of FINRA member firms and their branches;
- Reviewed thousands of potential fraud and insider trading cases; and,
- Prosecuted numerous firms and salespersons engaged in serious misconduct.
SUSAN AXELROD’S CAREER. After earning her Bachelor’s Degree from Emery University and her Law Degree from Hofstra University, Ms. Axelrod joined the NYSE in 1989 as a Staff Attorney in the division of enforcement. She became an Enforcement Director in 1997. Thereafter, Ms. Axelrod served in the following positions:
- 2004-2007: NYSE Regulation Chief of Staff;
- 2007-2010: FINRA SVP, Deputy Regulatory Operations;
- 2010-2013: FINRA EVP, Member Regulations Sales Practice Department;
- 2013-Present: FINRA EVP Regulatory Operations.
“During my nearly three decades as a regulator, it has been an honor and privilege to work every day to ensure that investors are protected and markets are operating with integrity. I am proud to have been part of the talented FINRA team and all that it has accomplished since the organization was founded. I want to express my deepest gratitude to everyone I have worked with over the years, including staff, board members, and industry participants. I am also grateful to my family for their incredible support for the time and energy I have dedicated to this important work.” - - Axelrod.