FINRA Taps New Leader of Enforcement Division
The Financial Industry Regulatory Authority (FINRA) appointed veteran regulator Bill St. Louis Head of Enforcement, effective immediately. He will be responsible for the management of approximately 350 enforcement staff in 11 offices across the US who investigate and bring disciplinary cases against brokers and firms.
Reporting directly to FINRA CEO Robert Cook, St. Louis will replace Jessica Hopper, who departed FINRA in February 2023, and Christopher J. Kelly, SVP and deputy head of enforcement, who was serving as acting head of enforcement since that time.
St. Louis joined FINRA in 1998, initially holding several positions in the enforcement department, including serving as regional chief counsel for FINRA’s North region.
He also served as director of FINRA’s New York office from 2014 to 2019 as well as SVP and regional director of FINRA’s Northeast region from 2019 to 2020. Most recently, St. Louis oversaw the NCFC team comprised of the National Cause Program, Financial Crimes Surveillance, the Financial Intelligence Unit and specialized investigative units covering anti-money laundering and fraud, cybersecurity, high-risk representatives and vulnerable adults and seniors.
“I am confident he will bring exemplary leadership, expertise and vision to bear in his new role supporting the Enforcement department’s contributions to FINRA’s mission of investor protection and market integrity,” said Cook.
