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FINRA Reorganizes Enforcement, Names Susan Schroeder as Chief

July 26, 2017

FINRA has promoted Susan Schroeder to EVP and Head of Enforcement, and has announced plans to consolidate its existing enforcement functions into a single, unified enforcement group under Ms. Schroeder. She’ll report directly to FINRA CEO Robert Cook.


Two distinct enforcement teams will merge into the new unit:


  • one handling disciplinary actions related to trading-based matters found through Market Regulation’s surveillance and examination


  • the other handling cases referred from other regulatory oversight divisions including Member Regulation, Corporate Financing, the Office of Fraud Detection and Market Intelligence, and Advertising Regulation.


Detailed planning for the consolidation will begin immediately and will be overseen by a steering committee of senior executives. The committee also will seek input from FINRA’s exchange clients for whom FINRA performs enforcement-related services.


SUSAN SCHROEDER’S BACKGROUND.    Ms. Schroeder joined FINRA in 2011 as SVP and Deputy Chief of Enforcement. She’s been acting Head of Enforcement since the departure of Brad Bennett earlier this year. Before joining FINRA, Ms. Schroeder was a partner in WilmerHale’s Securities Litigation and Enforcement practice.


Earlier in her career, Ms. Schroeder was with Kirkland & Ellis (as a litigation associate) and Andersen Consulting (as a consultant).She holds a JD from NYU Law, an MA from the UC Davis, and a BA from Georgetown. She is a member of the New York bar.