Ira Gluck is a manager in FINRA’s Advertising Regulation Department. In this role, he works on policy and investigative issues involving complex products and novel regulatory concerns. Mr. Gluck’s previous positions within FINRA included managing the Emerging Regulatory Issues team within the Risk and Strategy Department, as well as heading the Strategic Initiatives Group in FINRA’s Enforcement Department.
He also served in various investigative and management roles in the Enforcement and Member Regulation Departments of NASD before its 2007 consolidation with NYSE Member Regulation, which resulted in the formation of FINRA. Mr. Gluck received his bachelor’s degree from the University of Pennsylvania and completed both a master’s degree and M.B.A. at the University of California, Irvine.
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.
Haimera Workie, Esq.
Haimera Workie is a Senior Director responsible for heading up FINRA’s Office of Emerging Regulatory Issues, which focuses on analyzing new and emerging risks and trends related to the securities market. Previously, Mr. Workie served as Deputy Associate Director in the Division of Trading and Markets at the U.S. Securities and Exchange Commission. In this capacity, Mr. Workie was tasked with developing a variety of Dodd-Frank Act related rulemakings, supervising policy matters related to market intermediaries and financial market utilities, and representing the Commission before several international standard setting bodies.
Mr. Workie also previously served as Counsel to Commission Chair Mary Schapiro. Prior to joining the Commission, he was an associate at the law firm of Skadden, Arps, Slate, Meagher & Flom, with a practice focusing on corporate law. He is a graduate of the Massachusetts Institute of Technology (B.S., M.S.) and Harvard Law School (J.D.).
Julius Leiman-Carbia, Esq.
Julius Leiman-Carbia is Chief Legal Officer & Chief Compliance Officer of
Wealthfront Inc. and has over 30 years of experience in the securities industry.
Earlier in his career, he was appointed Associate Director in the SEC’s Office of
Compliance Inspections and Examinations overseeing a staff of approximately 300
lawyers, accountants and examiners responsible for the inspections of U.S. broker-dealers and combined broker-dealer/advisers.
Mr. Leiman-Carbia previously
worked at the SEC from 1989 to 1994 as a counsel in the SEC’s then-Division of
Market Regulation, specifically in its Office of Capital Markets. Among his
professional experiences outside the SEC, Mr. Leiman-Carbia served as Chief Compliance Officer and
Global Head of Sanctions Compliance at MUFG/Union Bank, Chief Compliance Officer at JP Morgan
Securities, Managing Director of the Capital Markets and Banking Compliance Department at Citigroup
Global Markets and Head of Equities Compliance at Goldman Sachs. Mr. Leiman-Carbia is a graduate
of the University of Pennsylvania Carey Law School and a member of the New York and DC bars.