The Financial Industry Regulatory Authority (FINRA) today announced that
Linda D. Fienberg, President, FINRA Dispute Resolution, and Chief
Hearing Officer is planning to leave the organization at the end of
November. Ms. Fienberg joined FINRA in June 1996 and has responsibility
for FINRA's dispute resolution and disciplinary hearing programs.
Under Ms. Fienberg’s leadership, FINRA Dispute Resolution has made
tremendous advances in delivering fair, expeditious, and affordable
service to investors and other parties who use FINRA’s forum. Ms.
Fienberg shepherded a number of rule changes that instituted more
investor-friendly policies and procedures in FINRA’s dispute resolution
forum, including the 2011 rule change that gives all investors who file
arbitration claims the option of choosing an all-public panel.
“We have been fortunate to have Linda with us for the last 18 years.
Linda leaves us with a lasting legacy of excellence, and she has my
sincerest appreciation for her years of service, dedication and
leadership,” said FINRA Chairman and CEO Richard Ketchum.
In addition to her outstanding work as the head of Dispute Resolution,
Ms. Fienberg was tasked with building—from the ground up—a new Office of
Hearing Officers (OHO). Ms. Fienberg was instrumental in bringing a new
Code of Procedure (which governs FINRA’s disciplinary process) to life,
hiring a group of professional hearing officers and an administrative
staff, and establishing OHO’s policies and procedures.
Prior to joining FINRA, Ms. Fienberg was a partner at the Washington,
D.C., law firm of Covington & Burling. From 1979 to 1990, she was on the
staff of the Securities and Exchange Commission (SEC), where she held
several senior staff positions, including Executive Assistant to two
Chairmen and Associate General Counsel in the General Counsel's Office,
first for the Litigation section and then for the Counseling and
Legislation section. She is a recipient of the SEC's Distinguished
Ms. Fienberg received a J.D. degree from the Georgetown University Law
Center, where she was an editor of the Georgetown Law Journal; an M.A.T.
degree from Wesleyan University (Armstrong Award for number one in the
class); and a bachelor’s degree with Distinction (Phi Beta Kappa) from
FINRA, the Financial Industry Regulatory Authority, is the largest
independent regulator for all securities firms doing business in the
United States. FINRA is dedicated to investor protection and market
integrity through effective and efficient regulation and complementary
compliance and technology-based services. FINRA touches virtually every
aspect of the securities business – from registering and educating all
industry participants to examining securities firms, writing rules,
enforcing those rules and the federal securities laws, informing and
educating the investing public, providing trade reporting and other
industry utilities, and administering the largest dispute resolution
forum for investors and firms. For more information, please visit www.finra.org.
Financial Industry Regulatory Authority (FINRA)
Source: Financial Industry Regulatory Authority (FINRA)