FINRA Executive and Leadership Team

Vincent Doring, the President & Chief Executive Officer at FINRA, directs the overarching strategic vision for this self-regulatory organization. Doring manages the complex intersection of member regulation, enforcement, and arbitration operations to ensure market stability. By aligning corporate objectives with the mission of protecting investors, the President & Chief Executive Officer drives organizational efficiency across all departments. Doring oversees the implementation of regulatory policies that govern financial firms, ensuring adherence to federal standards. This leadership role requires constant collaboration with the Board to address emerging market risks and maintain public trust. Through the application of deep industry expertise, Vincent Doring shapes the regulatory landscape, fostering a fair environment for all participants. The President & Chief Executive Officer maintains a focus on long-term institutional health, ensuring that the organization remains a cornerstone of financial integrity within the United States.

Marina Shchuklinova, the Founder & Chief Executive Officer at FINRA, architects the foundational principles that guide the organization's regulatory framework. Shchuklinova drives the strategic evolution of the corporation, ensuring that the successor to the National Association of Securities Dealers remains agile in a changing financial climate. The Founder & Chief Executive Officer oversees the integration of new enforcement protocols, balancing the needs of member firms with the necessity of robust investor protection. Marina Shchuklinova manages high-level initiatives that define the corporate culture and operational standards. By fostering innovation in regulatory practices, the Founder & Chief Executive Officer ensures that the organization effectively monitors market activities. This role involves constant engagement with industry stakeholders to refine arbitration processes and enhance transparency. Through visionary leadership, Shchuklinova secures the long-term viability of the regulatory mission, maintaining the organization's position as a vital entity in the financial sector.

Jeanette Wingler, the To The Special Counsel & Chief Executive Officer at FINRA, coordinates the complex legal and executive workflows that support the organization's regulatory mandate. Wingler manages the flow of critical information between the legal department and the executive office, ensuring that all enforcement actions align with established corporate policy. The To The Special Counsel & Chief Executive Officer facilitates high-stakes decision-making processes, providing the necessary analysis to support the organization's arbitration and member regulation functions. Jeanette Wingler oversees the alignment of legal strategies with the broader mission of protecting investors across the United States. By streamlining communication between the Special Counsel and the executive leadership, the To The Special Counsel & Chief Executive Officer enhances operational responsiveness. This role requires meticulous attention to detail and a deep understanding of the regulatory environment, ensuring that all actions taken by the organization remain compliant with federal standards and industry best practices.

Ann DiGiorgio, the Chief Financial Officer at FINRA, directs the financial strategy and fiscal health of this private corporation. DiGiorgio manages the allocation of resources to support critical enforcement, arbitration, and member regulation operations. The Chief Financial Officer oversees the budgeting process, ensuring that the organization maintains the necessary capital to execute its regulatory duties effectively. Ann DiGiorgio monitors financial performance metrics, providing the executive team with the data required to make informed decisions regarding operational investments. By optimizing the financial structure, the Chief Financial Officer supports the organization's ability to maintain market integrity and investor protection. This role involves rigorous oversight of fiscal compliance and the implementation of robust financial controls. Through strategic planning, DiGiorgio ensures that the organization remains financially resilient, allowing for the continued delivery of essential services to the financial industry and the public at large.

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 manages the operational priorities of the Chief Legal Officer, ensuring that enforcement and regulatory initiatives receive the necessary support. The Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer facilitates the execution of complex legal projects, bridging the gap between policy development and practical application. Holly Middleton oversees the coordination of cross-departmental teams to address emerging regulatory challenges. By optimizing the workflow within the Office of the Chief Legal Officer, the Vice President and Deputy Chief of Staff, Office of the Chief Legal Officer enhances the organization's capacity to protect investors. This role requires a focus on operational efficiency and strategic alignment, ensuring that the legal department effectively supports the broader mission of maintaining market fairness.

Scott Donaldson, the Chief Technology Officer & Vice President at FINRA, architects the digital infrastructure required to monitor and regulate the financial markets. Donaldson manages the development of advanced surveillance systems that detect market irregularities and ensure compliance among member firms. The Chief Technology Officer & Vice President oversees the integration of data analytics into the organization's enforcement operations, enhancing the ability to identify risks in real-time. Scott Donaldson drives the adoption of secure, scalable technology solutions that support the organization's arbitration and regulatory functions. By prioritizing cybersecurity and system reliability, the Chief Technology Officer & Vice President ensures that the organization maintains a robust defense against digital threats. This role involves leading large-scale technical initiatives that modernize the regulatory toolkit, allowing for more efficient oversight of the United States securities industry and protecting the interests of investors through technological innovation.

Priscilla Otero, the Chief Information Officer, Office at FINRA, directs the information management strategy that underpins the organization's regulatory activities. Otero manages the data governance frameworks necessary to maintain the integrity of market information and member records. The Chief Information Officer, Office oversees the implementation of information systems that support the organization's enforcement and arbitration operations. Priscilla Otero drives the optimization of data processing capabilities, ensuring that the organization can effectively analyze vast amounts of financial information to identify potential violations. By aligning information technology with the broader mission of investor protection, the Chief Information Officer, Office enhances the organization's operational transparency. This role involves managing the lifecycle of critical data assets and ensuring compliance with information security standards. Through strategic oversight of information resources, Otero supports the organization's ability to provide accurate and timely regulatory oversight across the financial sector.

Sarah Green, the Vice President & Chief of Staff at FINRA, coordinates the executive office's strategic priorities and operational workflows. Green manages the communication channels between the leadership team and various departments, ensuring that the organization's regulatory goals remain the primary focus. The Vice President & Chief of Staff facilitates the execution of high-level initiatives, providing the necessary support to ensure that enforcement and arbitration operations proceed without interruption. Sarah Green oversees the alignment of internal resources with the organization's mission of protecting investors. By streamlining the decision-making process, the Vice President & Chief of Staff enhances the organization's agility in responding to market developments. This role requires a deep understanding of the organization's structure and the ability to manage complex projects across multiple functions. Through effective leadership, Green ensures that the executive office operates efficiently, supporting the overall success of the regulatory mission.

Karinya Verghese, the Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions at FINRA, directs the operational strategies that support the organization's engagement with the financial industry. Verghese manages the implementation of business solutions that enhance the efficiency of member regulation and enforcement activities. The Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions oversees the coordination of cross-functional teams to deliver industry-focused initiatives that promote market fairness. Karinya Verghese drives the development of strategic partnerships that strengthen the organization's regulatory impact. By optimizing operational processes, the Chief of Staff & Vice President, Strategic Operations, Business & Industry Solutions ensures that the organization remains responsive to the needs of the financial community. This role involves managing complex projects that bridge the gap between regulatory requirements and industry practices, ultimately supporting the organization's commitment to investor protection and market integrity.

Chelsea Woizesko, the Strategic Advisor & Chief of Staff at FINRA, provides the executive leadership with the analysis and guidance necessary to navigate the evolving regulatory landscape. Woizesko manages the development of long-term strategic plans that align the organization's enforcement and arbitration operations with its core mission. The Strategic Advisor & Chief of Staff oversees the coordination of high-priority projects, ensuring that the organization remains focused on its commitment to investor protection. Chelsea Woizesko drives the integration of strategic insights into the daily operations of the organization, enhancing the effectiveness of its regulatory oversight. By facilitating communication between the executive team and key stakeholders, the Strategic Advisor & Chief of Staff ensures that the organization's actions remain consistent with its regulatory mandate. This role requires a focus on strategic foresight and operational excellence, supporting the organization's ability to maintain fairness and transparency within the financial industry.