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Annabel Lucas's Email and Phone

Examiner - Member Regulation @ Financial Industry Regulatory Authority (FINRA)

Annabel Lucas's Email

  • a****4@luc.edu
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Location Greater Chicago Area
Work
Examiner - Member Regulation @ Financial Industry Regulatory Authority (FINRA)
Research Assistant @ Loyola University Chicago Quinlan School of Business
Education
Bachelor of Business Administration (BBA), Finance @ Loyola University of Chicago
Bachelor of Business Administration (BBA), Finance @ John Felice Rome Center
About

Examiner - Member Regulation @ -Reviews and investigates risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets -Conducts examinations and other reviews related to FINRA member firms' finances and operations; sales, underwriting and trading practices; and supervisory and compliance policies, procedures, internal  see more

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