Lisa is a member of the firm’s Executive Leadership Team. She joined the firm in 2023 after more than 25 years in FINRA leadership, most recently as Senior Director of the Membership Application Program (MAP), where she oversaw the review and analysis of all New and Continuing Membership Applications filed with FINRA.
Before that, she served as Associate Director in the Examination Program, leading a team conducting member firm examinations across the industry. A recognized authority on FINRA membership rules and processes, Lisa is named as a contact on several FINRA Regulatory Notices impacting membership – including Regulatory Notices 20-15, 18-23, 16-06, and 16-07 – and brings firsthand expertise in business model assessment, materiality consultations, broker-dealer transactions, ownership changes, and the operational impact of regulatory change. She has testified at membership hearings before FINRA’s National Adjudicatory Council and speaks frequently at industry events and conferences on topics spanning supervisory controls, written supervisory procedures, the MAP group, and women in compliance. For firms starting a broker-dealer or implementing material changes, Lisa’s perspective from inside FINRA is a meaningful advantage from the outset.
Lisa holds a Bachelor of Science in Business Administration from Nova Southeastern University, holds the Certified Regulatory Compliance Professional (CRCP) designation, and has completed executive education programs at Harvard Kennedy School and the Wharton School. She is a recipient of the FINRA Award of Distinction and the FINRA Premier Achievement Award.
