Current FINRA EVP Bari Havlik to Retire Later This Year

(Source:FINRA)

The US Financial Industry Regulatory Authority (FINRA) announced on Friday that Bari Havlik, currently served as EVP and Head of the Department of Member Supervision, will be retiring later this year. Greg A. Ruppert has been appointed her successor.

As seen on her Linkedin profile, Bari joined FINRA in 2018 from the Charles Schwab Corporation, where she served as Senior Vice President and Chief Compliance Officer for 14 years. Before this role, Wells Fargo Investments LLC utilised her services as Vice President from January 2001 to October 2003.

Earlier in her career, Bari worked at MiFund as Compliance Director. She left the company after spending 7 months. Bari's career began at Banc of America Securities LLC, where she spent for more than one year.

“Our mission of investor protection and market integrity depends on effective oversight, from early risk monitoring to timely guidance for firms to in-depth investigations of potential misconduct,” said FINRA President and CEO Robert Cook. “Bari has led a remarkable transformation in our risk monitoring and examination programs that will continue to strengthen FINRA’s ability to supervise our member firms effectively and efficiently. I am grateful for her leadership in that effort and in the important work that Member Supervision undertakes every day to safeguard investors and markets.”