Jeanette Wingler

Jeanette Wingler is the Special Counsel to the CEO at the Financial Industry Regulatory Authority (FINRA).14 Her career at FINRA has included several key roles:

Professional Experience

• Current Position: Special Counsel to FINRA CEO Robert Cook12

• Previous Role: Associate General Counsel in FINRA's Office of the General Counsel12

As Associate General Counsel, Wingler focused on various regulatory areas, including:

• Research analyst conflicts
• Business continuity planning
• Cybersecurity
• Senior and vulnerable investor protection
• Representative recruitment and succession planning1

Education

• Bachelor's degree in Political Science and History from the University of North Carolina at Chapel Hill1
• Law degree from Duke University School of Law14

Expertise and Contributions

Wingler has been involved in several important initiatives at FINRA:

• Contributed to the development of guidance on succession planning, as outlined in Regulatory Notice 22-2323
• Participated in discussions and podcasts about FINRA's regulatory programs and emerging industry trends2
• Provided insights on the importance of succession planning for firms, addressing both expected and unexpected events like retirement, death, or disability3

Before joining FINRA in 2014, Jeanette Wingler worked as an associate at Dechert LLP, where she advised on regulatory and compliance matters for broker-dealers, investment advisers, and investment companies.1

Jeanette Wingler's LinkedIn profile can be found under the username jeanette-wingler-a76569133.4