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FINRA's Dispute Resolution President to Retire

Scuttlebutt | September 4, 2014

Linda Fienberg, president of Dispute Resolution for the Financial Industry Regulatory Authority, the largest independent regulator for all securities firms doing business in the United States, will be leaving the organization at the end of November.

Fienberg, who joined FINRA in June 1996 and has responsibility for FINRA's dispute resolution and disciplinary hearing programs, 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.

In addition to her work as the head of Dispute Resolution, Fienberg was tasked with building from the ground up a new Office of Hearing Officers (OHO). Fienberg was instrumental in bringing to life a new Code of Procedure, which governs FINRA's disciplinary process, hiring a group of professional...

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