September 2nd 2023.
The Financial Industry Regulatory Authority (FINRA) has announced the appointment of Bill St. Louis as the head of enforcement, effective immediately.
FINRA CEO Robert Cook praised St. Louis, calling him a valued company member and expressing his belief that St. Louis will bring exemplary leadership to the position. St. Louis has been with FINRA since 1998, and has held several positions in the Enforcement Department, including regional chief counsel for FINRA’s North Region, and director of FINRA’s New York office from 2014 to 2019.
Most recently, St. Louis was head of FINRA’s National Cause and Financial Crimes Detection Program. In this role, he oversaw the NCFC team, comprised of the National Cause Program, Financial Crimes Surveillance, the Financial Intelligence Unit, and specialized investigations units covering anti-money laundering and fraud, cybersecurity, high-risk representatives, and vulnerable adults and seniors.
In a statement, St. Louis expressed his appreciation for the opportunity to lead such a talented and expert group of Enforcement professionals who are dedicated to FINRA’s mission of investor protection and market integrity. He looks forward to strengthening FINRA’s Regulatory Operations, ensuring integrated oversight, and increasing safety in the market as he advances his important work in the present and future regulatory environment.
At a Baruch College and New York University Law School alum, Bill St. Louis will lead more than 300 enforcement officers and staff in 11 offices nationwide in his new role. He will report directly to FINRA CEO Robert Cook. With his experience in the field, St. Louis is well positioned to serve FINRA and the investors the organization is designed to protect.
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