Lizzie Hogan Archives - The Industry Spread

FINRA’s Department of Enforcement Explained

October 8, 2019

The Department of Enforcement within FINRA, the Financial Industry Regulatory Authority, has four units, a key reform from 2018.

Lizzie Hogan is the Senior Vice President of Market Regulation Enforcement, one of the three units with the Department of Enforcement, and she was the latest guest on FINRA’s podcast “Unscripted”.