FINRA Executive and Leadership Team

Jeanette Wingler, the Special Counsel to the Chief Executive Officer at FINRA, provides critical legal guidance regarding regulatory compliance and corporate governance. Wingler architects complex policy frameworks that ensure the organization adheres to federal mandates while maintaining self-regulatory authority. By advising the executive leadership team on sensitive enforcement matters, the Special Counsel to the Chief Executive Officer mitigates institutional risk and strengthens the integrity of the financial markets. Jeanette Wingler also coordinates with internal legal departments to refine arbitration procedures and member regulation protocols. This role demands deep expertise in securities law to navigate the evolving landscape of financial oversight. Through meticulous analysis of regulatory changes, the Special Counsel to the Chief Executive Officer supports the broader mission of protecting investors across North American markets. Ultimately, Wingler secures the legal foundation necessary for the organization to execute its mandate effectively and maintain public trust in the financial system.

Marina Shchuklinova, the Founder & Chief Executive Officer at FINRA, directs the overarching strategic vision and long-term growth initiatives for the organization. Shchuklinova architects the foundational principles that guide market regulation and investor protection efforts across the United States. By aligning internal operations with the evolving needs of the financial industry, the Founder & Chief Executive Officer ensures that the corporation remains a robust self-regulatory entity. Marina Shchuklinova manages high-level relationships with key stakeholders and government bodies to promote transparency and market stability. This leadership position involves overseeing the integration of new regulatory technologies to enhance enforcement capabilities. Through constant evaluation of market trends, the Founder & Chief Executive Officer drives the organization toward greater operational efficiency and regulatory excellence. Ultimately, Shchuklinova shapes the future of financial oversight by championing policies that safeguard the integrity of the securities industry for all market participants.

Vincent Doring, the President & Chief Executive Officer at FINRA, executes the daily operational strategy and manages the comprehensive enforcement activities of the organization. Doring oversees the transition of regulatory standards into actionable policies that govern member firms across the United States. By coordinating with the Board of Directors, the President & Chief Executive Officer ensures that all arbitration and enforcement operations align with the core mission of investor protection. Vincent Doring drives the implementation of rigorous oversight programs designed to detect and prevent market misconduct. This executive role requires balancing complex regulatory requirements with the practical needs of the financial industry. Through the management of large-scale regulatory teams, the President & Chief Executive Officer maintains the high standards expected of a self-regulatory organization. Ultimately, Doring secures the operational stability of the firm while fostering a culture of compliance and accountability throughout the entire financial sector.

Ann DiGiorgio, the Chief Financial Officer at FINRA, manages the fiscal health and long-term financial planning for the organization. DiGiorgio architects robust budgeting processes that support the extensive regulatory and enforcement operations required to maintain market integrity. By overseeing capital allocation and financial reporting, the Chief Financial Officer ensures that the corporation possesses the necessary resources to fulfill its self-regulatory mandate. Ann DiGiorgio collaborates with other executive leaders to optimize operational spending and improve cost-efficiency across all departments. This role involves monitoring the financial impact of regulatory changes and adjusting fiscal strategies to maintain institutional stability. Through precise financial analysis, the Chief Financial Officer provides the data-driven insights required for strategic decision-making at the highest levels. Ultimately, DiGiorgio secures the financial foundation of the organization, enabling the continued protection of investors and the maintenance of fair, transparent markets throughout the United States.

Holly Middleton, the Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer at FINRA, coordinates the administrative and strategic functions within the legal division. Middleton architects efficient workflows that allow the Chief Legal Officer to address complex regulatory challenges and enforcement actions effectively. By managing the internal operations of the legal office, the Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer ensures that all legal teams remain aligned with the broader organizational goals of investor protection. Holly Middleton facilitates communication between legal counsel and other departments to streamline the resolution of arbitration cases and regulatory inquiries. This leadership role involves overseeing the implementation of legal policies that govern member firms across the United States. Through meticulous coordination of resources, the Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer supports the legal department in maintaining the highest standards of market integrity.

Sarah Green, the Vice President & Chief of Staff at FINRA, manages the executive office operations and facilitates strategic alignment across the organization. Green architects communication channels that connect the executive leadership team with various departments, ensuring that the mission of investor protection remains the primary focus. By overseeing special projects and high-priority initiatives, the Vice President & Chief of Staff drives the execution of corporate strategy. Sarah Green coordinates with the Board of Directors and senior management to streamline decision-making processes and improve organizational agility. This role involves managing the flow of information to ensure that the executive team remains informed about critical market developments and regulatory shifts. Through the effective management of executive resources, the Vice President & Chief of Staff supports the overall efficiency of the corporation. Ultimately, Green secures the operational cohesion necessary for the organization to fulfill its role as a self-regulatory authority.

Karinya Verghese, the Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions at FINRA, directs the operational integration of business solutions designed to support the financial industry. Verghese architects strategic frameworks that enhance the efficiency of member regulation and industry-wide compliance programs. By overseeing the implementation of business solutions, the Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions ensures that the organization provides the necessary tools for firms to meet regulatory requirements. Karinya Verghese collaborates with cross-functional teams to identify opportunities for operational improvement and market-wide service enhancements. This leadership role involves managing the strategic roadmap for industry solutions to ensure alignment with the evolving needs of the securities market. Through the optimization of business processes, the Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions supports the broader mission of maintaining fair and transparent financial markets across the United States.

Chelsea Woizesko, the Strategic Advisor & Chief of Staff at FINRA, provides high-level guidance on organizational strategy and manages the daily operations of the executive office. Woizesko architects long-term planning initiatives that support the core mission of investor protection and market regulation. By advising the executive team on critical business decisions, the Strategic Advisor & Chief of Staff ensures that the organization remains responsive to the dynamic needs of the financial industry. Chelsea Woizesko coordinates with various departments to align operational activities with the overarching strategic goals of the corporation. This role involves analyzing market trends and regulatory developments to provide actionable insights for the leadership team. Through the effective management of executive priorities, the Strategic Advisor & Chief of Staff supports the overall effectiveness of the organization. Ultimately, Woizesko secures the strategic focus necessary for the firm to maintain its position as a leader in financial market oversight.

Scott Donaldson, the Chief Technology Officer & Vice President at FINRA, directs the development and maintenance of the technological infrastructure required for market surveillance and regulatory enforcement. Donaldson architects scalable cloud solutions and data analytics platforms that enable the organization to monitor trading activities across the United States in real-time. By overseeing the cybersecurity and information technology departments, the Chief Technology Officer & Vice President ensures the integrity and security of sensitive financial data. Scott Donaldson collaborates with other executive leaders to integrate advanced technology into the regulatory process, improving the efficiency of market oversight. This role involves managing large-scale digital transformation projects that support the firm's ability to detect and prevent market misconduct. Through the deployment of cutting-edge technology, the Chief Technology Officer & Vice President drives the organization toward greater operational excellence. Ultimately, Donaldson secures the technological foundation necessary for the firm to maintain fair and transparent financial markets.

Priscilla Otero, the Chief Information Officer, Office at FINRA, manages the information systems and data management strategies that underpin the organization's regulatory functions. Otero architects robust data governance frameworks that ensure the accuracy and accessibility of information used for market surveillance and enforcement. By overseeing the information technology office, the Chief Information Officer, Office ensures that all digital systems remain compliant with federal standards and industry best practices. Priscilla Otero collaborates with the technology and legal teams to implement secure data sharing protocols that facilitate effective regulatory oversight. This leadership role involves managing the lifecycle of information assets to support the firm's mission of investor protection. Through the optimization of data management processes, the Chief Information Officer, Office improves the efficiency of regulatory reporting and analysis. Ultimately, Otero secures the information infrastructure necessary for the organization to maintain the integrity of the financial markets across the United States.