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.
Jim Allen, Principal Analyst, has been with FINRA’s Advertising Regulation
Department for almost eight years in total, first joining the Department in 2008 and
re-joining again this past spring. Prior to his current tenure he was with Morgan
Stanley for six years in their retail product compliance group, focusing on
communications with the public.
Mr. Allen has been in the investment industry for
more than 25 years as a registered principal, registered representative, and in
several administrative and back-office roles. He holds a B.A. from SUNY Potsdam.
John F. Cunningham, Esq.
John F. Cunningham is Associate Principal Analyst in FINRA’s Advertising
Regulation Department. He joined the department in December 2000 and his
primary responsibility is the review of broker/dealer communications for compliance
with applicable rules. He is a member of the department’s training committee.
Prior to joining FINRA, Mr. Cunningham served as a registered representative for nine
years. Mr. Cunningham holds a juris doctorate from the University of Baltimore
School of Law, a Master of Business Administration from Loyola University of
Maryland, and a Bachelor of Science degree in journalism from the University of
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
Natlyn D. Murrain
Natlyn D. Murrain is a Principal Analyst in the FINRA Advertising Regulation
Department. Her primary responsibilities include the review of complex
communications for compliance with applicable advertising rules.
Prior to joining
FINRA in 2011, Ms. Murrain spent four years as a compliance officer at a member
firm. Ms. Murrain holds a Master’s degree from Walden University and a Bachelor’s
degree from Virginia Union University.