Finra said Monday that it appointed Bill St. Louis as head of enforcement, making him responsible for the agency’s 350 enforcement staffers in 11 offices across the United States.
St. Louis succeeds Christopher Kelly, the deputy head of enforcement, who had served as acting head of enforcement since February, when Jessica Hopper left the agency. As head of enforcement, he will report directly to Finra CEO Robert Cook.
St. Louis most recently served as head of Finra’s national cause and financial crimes detection program, known as NCFC.
“Bill’s broad and deep experience at Finra, including his previous senior roles in enforcement and member supervision, and his most recent position as head of the NCFC, will serve him well as head of enforcement,” Cook said in a statement.
Since joining Finra in 1998, St. Louis has held enforcement roles, including serving as regional chief counsel for the agency’s North region. He was director of Finra’s New York office from 2014 to 2019 and regional director of its Northeast region from 2019 to 2020.
“It is a privilege to lead such a talented and expert group of enforcement professionals who are dedicated to Finra’s mission of investor protection and market integrity,” St. Louis said in the statement. “I look forward to strengthening Finra’s regulatory operations, ensuring integrated oversight and increasing safety in the market as we advance our important work through the regulatory opportunities and challenges ahead.”
NorthRock Partners' second deal of 2025 expands its Bay Area presence with a planning practice for tech professionals, entrepreneurs, and business owners.
Rather than big projects and ambitious revamps, a few small but consequential tweaks could make all the difference while still leaving time for well-deserved days off.
Hadley, whose time at Goldman included working with newly appointed CEO Larry Restieri, will lead the firm's efforts at advisor engagement, growth initiatives, and practice management support.
Survey reveals how cutting through the noise is advisors' superpower.
Gen X is a powerful cohort that controls huge wealth but also faces retirement challenges.
Orion's Tom Wilson on delivering coordinated, high-touch service in a world where returns alone no longer set you apart.
Barely a decade old, registered index-linked annuities have quickly surged in popularity, thanks to their unique blend of protection and growth potential—an appealing option for investors looking to chart a steadier course through today's choppy market waters, says Myles Lambert, Brighthouse Financial.
