Timothy Wasson
Arbitrator | Former Chief Compliance Officer | Former Adjunct Professor
- Role
- Arbitrator at FINRA
- Location
- Sunbury, OH, US
- LinkedIn followers
- 500 followers
About Timothy Wasson
For the vast majority of my career, I was a Chief Compliance Officer who maximized firm…
Experience
Arbitrator
Jan 1988 — Present
FINRA IS THE SUCCESSOR TO NASD)Arbitrated a multitude of complex securities industry cases as a member of the FINRA Panel of Arbitrators (both NASD & NYSE matters), acting in an industry-arbitrator capacity. This also included presiding as the chairperson for some industry-only cases. • Several cases were high profile matters involving hearing dates extending over multiple years.
Education
Messiah College
Bachelor of Arts (BA)
1975 — 1978
Robert Morris University
Master of Science (MBA)
1982 — 1985
Skills
- Finance
- Series 24
- Securities Regulation
- Securities
- Public Speaking
- Investment Banking
- Industry Conference Speaker
- Chief Compliance Officer
- Anti Money Laundering
- Broker-Dealer Compliance
- Aml
- Capital Markets Compliance
- Bank-Securities Compliance
- Capital Markets
- Series 7
- Internal Controls
- Financial Risk
- Banking
- Mutual Funds
- Risk Management
- Financial Analysis
- Finra
- Investments
- Portfolio Management
- Professor
- Training
- Financial Services
- Aml Compliance
- Investment Adviser Compliance
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