Anthony T. Maher, Esq.
Anthony T. Maher is a manager in FINRA’s Advertising Regulation Department. He served in the same role at NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. His chief responsibility is managing staff members dedicated to the routine review of member advertisements.
Mr. Maher also speaks at FINRA conferences and events, especially the Department’s Advertising Regulation Conference, where he conducts a highly interactive educational “hands-on” advertising review workshop. Prior to joining FINRA in 1995, he was a registered principal and a compliance analyst for a broker-dealer subsidiary of a life insurance company. Mr. Maher holds a J.D. from George Mason University Antonin Scalia Law School, a master’s degree from Georgetown University and a bachelor’s degree from George Mason University.
Timothy P. Holland, Esq.
Timothy P. Holland is a manager in the FINRA Advertising Regulation Department, and assists in supervising the activity of a group of analysts that reviews sales communications filed by member firms. Mr. Holland joined the Advertising Regulation Department in 2004.
He also worked in the CRD/Public Disclosure Department of NASD from 1996 to 2000. Mr. Holland has bachelor’s degrees from the University of Maryland at College Park and received his law degree from The Catholic University of America, Columbus School of Law.
Kristina Shaw is a Principal Analyst on the Complex Review Team in the
Advertising Regulation Department. Her primary responsibilities include reviewing
private placement material filed with FINRA and investigating referrals from FINRA’s
Kristina previously worked in FINRA’s Market Regulation
Department as a Fixed Income Investigations Analyst. Prior to joining FINRA in
2010, Kristina worked in Operations at a member firm and earned a B.A. in Business
Finance from Towson University
Thomas Dineen, Esq.
Thomas Dineen is Principal Analyst in FINRA’s Advertising Regulation
Department. Prior to joining FINRA/NASD in 2007, he worked as an investment
consultant at TD Ameritrade, a financial advisor at Ameriprise, and as a corporate
lawyer. Mr. Dineen holds a Bachelor’s degree in English from Columbia University
and law degrees from Oxford University and the University of Pennsylvania