FINRA has named Julie Glynn and Tina Gubb as Senior Vice Presidents of Enforcement, reporting to Executive Vice President Bill St Louis.

Glynn and Gubb will advise St Louis on high-impact disciplinary investigation and enforcement actions in FINRA’s Enforcement department, lead the department’s attorney teams, and coordinate with the Regulatory Operations. Glynn’s responsibilities will also include overseeing Enforcement Litigation.  

Glynn joins from JPMorgan Chase, where she was General Counsel for the bank’s wealth management line. During her tenure there, she and her legal team created a remote advisory channel and enhancements to the company’s self-directed digital channel, and routinely interfaced with FINRA, the SEC, and other regulators.

Gubb has been at FINRA since 1998, and took on enforcement responsibilities in 2002. Gubb has supervised matters related to Regulation NMS and Regulation SHO, market manipulation and best execution. Her work on supervisory failures includes a $24m settlement with BofA Securities in November 2023 that involved instances of spoofing: the use of non-bona fide orders to create the false appearance of market activity.