James Wrona
Vice President and Associate General Counsel at Financial Industry Regulatory Authority (FINRA)
- Role
- Vice President and Associate General Counsel at FINRA
- Location
- Washington, DC, US
- LinkedIn followers
- 500 followers
Experience
Vice President and Associate General Counsel
Aug 1998 — Present · Washington, DC, US
Responsible for various policy initiatives, rule changes, and appellate litigation regarding the securities industry. Handle a broad range of securities issues, including those involving Regulation Best Interest, know your customer, senior investors, outside business activities, complex products, digital engagement practices, and corporate financing. Frequent speaker at large securities and litigation conferences and author of numerous law review articles.
Education
Ohio Northern University Claude W. Pettit College of Law
JD, Law
1990 — 1993
York College of Pennsylvania
BA, History
1986 — 1990
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