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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
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.