FINRA announced today the appointment of Julie Glynn and Tina Gubb as Senior Vice Presidents of Enforcement. Gubb’s appointment will take effect on July 22, while Glynn’s will begin in September. Both will report to Bill St. Louis, Executive Vice President and Head of Enforcement at FINRA.
“Julie and Tina possess exemplary legal expertise and superior leadership skills. I am confident that they have the breadth of experience, strategic thinking, and agility needed to help lead our teams in pursuit of FINRA’s mission of investor protection and market integrity,” said St. Louis.
In their new roles, Glynn and Gubb will serve as senior legal advisors to St. Louis, responsible for advising on high-impact investigations and disciplinary actions across the Enforcement department. They will also lead the Enforcement attorney teams and collaborate with FINRA’s regulatory operations to support the organization-wide execution of its mission of investor protection and market integrity.
Glynn and Gubb will each oversee four chief counsel Enforcement teams. Additionally, Enforcement Litigation will report to Glynn.
Glynn joins FINRA from J.P. Morgan Chase, where she has been General Counsel for its wealth management line of business since 2019. Her legal team has advised on various issues, including the creation of a new remote advisory channel and enhancements to the firm’s self-directed digital channel. Glynn has held other senior roles at J.P. Morgan Chase, including managing the team that conducted government investigations and interfaced with regulators such as FINRA and the Securities and Exchange Commission. She previously worked at FINRA from 2005 to 2011 as an Enforcement attorney and has also held positions at Morgan Stanley and Morrison & Foerster.
Gubb joined FINRA in 1998 and started as an analyst in the Office of Fraud Detection and Market Intelligence. She worked on investigations related to fraudulent practices, pump and dump schemes, wash sales, and insider trading. Since 2002, she has held Enforcement positions of increasing responsibility. As a Chief Counsel, Gubb led and supervised various high-profile matters, primarily focused on Regulation NMS, Regulation SHO, market manipulation, best execution, and supervision. Notably, she was involved in the $24 million settlement in November 2023 with BofA Securities for engaging in hundreds of instances of spoofing in Treasury securities and related supervisory failures.
About FINRA
FINRA is a not-for-profit organization dedicated to investor protection and market integrity. It regulates one critical part of the securities industry—member brokerage firms doing business in the U.S. Overseen by the SEC, FINRA writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-dealer personnel, and offers education and training. FINRA also provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. Additionally, it administers a dispute resolution forum for investors and brokerage firms and their registered employees. For more information, visit www.finra.org.
