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Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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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.